Principal Counsel, Enforcement

Min 7 yrs required

Full-time

No

Principal Counsel, Enforcement (Salary: Competitive)

The Principal Counsel, Enforcement position at FINRA is a full-time role that requires a minimum of seven years of relevant legal experience in the financial regulatory space. The successful candidate will be responsible for performing rigorous assessments and effective advocacy in Enforcement matters. They will also collaborate with other FINRA departments and prioritize matters based on risk. This role offers a competitive salary and comprehensive benefits package, including a discretionary bonus, health insurance, and a 401(k) plan with company match.

Position: Principal Counsel, Enforcement
Organization: FINRA (Financial Industry Regulatory Authority)
Locations: Rockville, MD; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL; Boston, MA; Boca Raton, FL; Woodbridge, NJ; Washington, DC; San Francisco, CA; Philadelphia, PA; New York, NY; Los Angeles, CA
Time Type: Full time
Job Requisition ID: R-007990

Responsibilities:

- Develop and execute a risk-based legal strategy for assessing the record fairly
- Collaborate with investigative staff to plan investigations and develop the record
- Research and identify legal requirements for charges
- Recommend a fair and effective outcome based on evidence and legal framework
- Lead settlement discussions with respondents
- Conduct litigation preparation and contribute to litigation by drafting complaints and conducting witness examinations
- Draft clear and organized analysis and advocacy documents
- Plan and conduct effective on-the-record testimony of witnesses
- Draft precise and transparent settlement documents
- Utilize data analytics and technology to advance investigations
- Collaborate with other Enforcement attorneys and departments
- Prioritize matters based on risk and collaborate with managers for feedback

Education/Experience:

- Minimum of seven years relevant legal experience in the financial regulatory space, or related areas
- Knowledge of securities laws and FINRA rules preferred
- Excellent oral and written communication and litigation skills
- Excellent interpersonal skills

Work Conditions:

- May require work outside of business hours and overnight travel

To apply for this position, please submit an application on FINRA's website. Applications are accepted on an ongoing basis.

Please note that this job description is not a comprehensive list of all duties, responsibilities, and qualifications required for the position.

Important Information:

FINRA has restrictions on employees' investments and requires financial disclosures related to their role as a securities regulator. Employees must disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements to FINRA. New employees must comply with investment restrictions by their start date. Employees may only maintain securities accounts at firms that provide an electronic feed to FINRA.

As standard practice, employees must also sign FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's nepotism policy.

Benefits:

- Competitive salary
- Discretionary bonus
- Comprehensive health, dental, and vision insurance
- Additional insurance options for life, disability, and long-term care
- 401(k) plan with company match and eligibility for additional retirement contribution
- Tuition reimbursement
- Generous time-off program, including paid time off, personal days, sick days, and volunteer service days
- Paid leave for military service, jury duty, bereavement, voting, and childbirth/parental leave
- Nine paid holidays (based on full-time schedule)

FINRA is an Equal Opportunity and Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status, or any other classification protected by federal, state, or local laws. FINRA abides by the requirements of 41 CFR ) and 41 CFR ) to prohibit discrimination against qualified individuals with disabilities and protected veterans, respectively.

Copyright ©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Not specified

Comprehensive health, dental, and vision insurance, life and disability insurance, 401(k) plan with company match, retirement contribution, tuition reimbursement, paid time off, volunteer service days, and other benefits

Not specified

Risk assessment, legal strategy, investigative planning, evidence assessment, settlement negotiations, litigation preparation, data analytics, technology utilization, collaboration, communication

Juris Doctor (J.D.) degree

Submit an application through the FINRA Careers website

Qualification and Experience Juris Doctor (J.D.) degree, admitted to practice law in relevant jurisdiction

Legal