Principal Counsel, Enforcement

Min 7 yrs required

Full-time

No

H1: Become a Principal Counsel in Enforcement at FINRA
H2: Lead and Advocate for Fair and Effective Outcomes in Enforcement Matters

BOLD HEADLINES:
- Join the Team at FINRA as a Principal Counsel in Enforcement
- Use Your Legal Expertise to Advance Investigations and Develop Strategies
- Collaborate with a Team of Professionals in a Fast-Paced, Regulatory Environment
- Make a Difference in the Financial Industry as a Principal Counsel in Enforcement

JOB TITLE: Principal Counsel, Enforcement

FINRA, the Financial Industry Regulatory Authority, is seeking a highly skilled and experienced Principal Counsel to join our team. As a Principal Counsel in Enforcement, you will play a critical role in assessing and advocating for fair and effective outcomes in enforcement matters. With locations across the United States, including Rockville, MD; Jersey City, NJ; Jericho, NY; Denver, CO; and Dallas, TX, FINRA offers a dynamic and diverse work environment.

As a Principal Counsel in Enforcement, you will have the opportunity to:

- Develop and execute risk-based legal strategies for assessing evidence and determining charges
- Collaborate with investigative staff to plan and develop investigations
- Research and identify legal requirements for charges
- Recommend fair and effective outcomes based on evidence and legal framework
- Lead settlement discussions with respondents
- Prepare for and conduct litigation, including drafting complaints and examining witnesses
- Draft clear and organized analysis and advocacy documents
- Utilize data analytics and technology to advance investigations
- Collaborate with other Enforcement attorneys and FINRA departments
- Prioritize cases based on risk
- Incorporate feedback from managers into planning and execution

To be considered for this position, you must have:

- A 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

In addition, you must be willing to work outside of business hours and travel overnight when necessary.

At FINRA, we value our employees and offer a comprehensive benefits package, including:

- Health, dental, and vision insurance
- Life and disability insurance
- 401(k) plan with company match and eligibility for additional retirement contributions
- Tuition reimbursement
- Generous time-off program, including paid time off, personal days, sick days, and volunteer service days
- Paid holidays

FINRA also promotes a healthy work-life balance and encourages employees to focus on their wellness. We offer a disability-friendly workplace and provide accommodations for employees with disabilities.

As a securities regulator, FINRA has restrictions on employees' investments and requires financial disclosures. Employees must also comply with our policy on nepotism and sign our Employee Confidentiality and Invention Assignment Agreement.

If you are ready to join our team and make a difference in the financial industry, apply now! Please note that applications are accepted on an ongoing basis.

SEO FRIENDLY JOB TITLE: Principal Counsel, Enforcement at FINRA

SUMMARY:

FINRA, the Financial Industry Regulatory Authority, is seeking a highly skilled and experienced Principal Counsel to join our team. As a Principal Counsel in Enforcement, you will play a critical role in assessing and advocating for fair and effective outcomes in enforcement matters. With locations across the United States, including Rockville, MD; Jersey City, NJ; Jericho, NY; Denver, CO; and Dallas, TX, FINRA offers a dynamic and diverse work environment. We are looking for a candidate with at least seven years of relevant legal experience in the financial regulatory space, knowledge of securities laws and FINRA rules, and excellent communication and interpersonal skills. As a Principal Counsel, you will have the opportunity to develop and execute risk-based legal strategies, collaborate with investigative staff, research and identify legal requirements, lead settlement discussions, prepare for and conduct litigation, and more. We offer a comprehensive benefits package and promote a healthy work-life balance. Join our team and make a difference in the financial industry!

Comprehensive health, dental, and vision insurance; life and disability insurance; retirement contributions; tuition reimbursement; paid time off; volunteer service days; military leave; jury duty leave; bereavement leave; voting and election official leave; care of family member leave; childbirth and parental leave.

Legal Analysis, Risk Assessment, Advocacy, Litigation, Communication, Collaboration, Research, Data Analytics, Technology, Prioritization, Management

Juris Doctor degree

Submit application through FINRA Careers website.

Qualification and Experience Juris Doctor degree, Bar membership required

Legal