Job Details

Principal Counsel Enforcement

Company name


Organization Type

Public Interest

Job Type


Date Last Verified

Feb 05,2019

Valid Through

May 21,2019

Posted on

Dec 05,2018

Years of Experience

Min 9 yrs required


New York City, NY, United States

Employment Type



Practice Area
Litigation >> Litigation - General/Commercial
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Principal Counsel - Enforcement
The candidate performs a variety of specific duties, generally including applying advanced analytical skills to provide legal interpretations regarding laws, rules, and regulations; drawing up legal documents; and representing the organization in hearings and settlements. Assigned to handle intermediate to complex investigations from initiation through recommendation on disposition. This is senior-level professional work in which incumbents are defining their assigned roles, increasing their skills, and working under general guidance. Plan for, participate in and demonstrate increased mastery of various tasks related to complex investigations pertaining to sales practice and trading violations by member firms and associated persons including the gathering of documentation evidence and the analysis thereof. Determine scope of investigation. Participate in on-the-record interviews of witnesses and potential respondents, often in a first-chair capacity. Demonstrate increased proficiency in drafting memoranda summarizing investigative results, analyzing applicable law and reviewing evidence to determine legal sufficiency with respect to suspected violations. Take primary responsibility for settlement negotiations with the Enforcement Director and Chief Counsel and draft AWCs or other pre-complaint settlement papers or informal actions. Draft and finalize, with increased independence, complaints and other legal documents including motions, responses thereto and similar documents. Participate in the preparation of hearing exhibits to ensure that exhibits are persuasive and sufficient to support all allegations in the complaint. Provide guidance, represent in a first-chair capacity, or assist in representing the company in disciplinary hearings as its staff attorney, including marshaling, organizing and presenting documentary and testimonial evidence, cross-examining witnesses, and providing opening and closing arguments. Evidence increased ability to conduct settlement and related discussions with respondents and their attorneys and review or prepare Offers of Settlement. Assist in legal research and the drafting of any appellate briefs and argue appeals, as needed. Provide interpretative advice to the department staff as to the federal securities laws, relevant rules and regulations thereunder, company’s rules, MSRB Rules, and company’s Code of Procedure. Help devise and assist in conducting training of department investigators and junior attorneys and participate as needed in company staff and external training programs. Participate in special projects as assigned. Communicate, when appropriate, with SEC staff and members of other state and federal regulatory organizations. Mentor more junior attorneys and investigators. Participate in national initiatives and special projects. Should have Law degree and admission to the Bar. Must have 9 years relevant legal experience in a regulatory or legal environment. Should have excellent oral and written communication and litigation skills. Must have excellent interpersonal skills.

Company info

Hiring Coordinator
One Liberty Plaza
New York City, NY 10006

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