Job Details

Senior Attorneycounsel Sales Practice Enforcement

Company name

FINRA.

Organization Type

Public Interest

Job Type

Attorney

Years of Experience

2-6 yrs required

Location

New York City, NY

Date Last Verified

May 18,2018

Posted on

May 16,2018
Practice Area
Litigation >> Litigation - General/Commercial
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Senior Attorney / Counsel - Sales Practice Enforcement The candidate performs a variety of specific duties generally including applying analytical skills to participating in providing legal interpretations regarding laws, rules, and regulations; in drafting legal documents; and in hearings and settlements. Plans for and participates in various tasks related to investigations pertaining to sales practice and trading violations by member firms and associated persons including the gathering of documentation evidence and the analysis thereof. Researches and interprets rules, regulations, statutes, and decisions of regulatory and quasi-judicial bodies. Advises Enforcement Director regarding laws, rules, and regulations. Examines and analyzes data to recommend advisability of pursuing disciplinary action. Gathers and analyzes evidence to formulate cases or to initiate disciplinary action. Drafts memoranda summarizing investigative results and recommending whether to take further action. Under the direction of the Enforcement Director, prepares Letters of Caution and closing memoranda where formal disciplinary action is not recommended. Participates in interviewing witnesses and respondents, and handling other details in preparation for disciplinary actions under the direction of the Enforcement Director. Works closely with Enforcement Director in preparing drafts of motions, responses, exhibits, briefs, strategy, arguments, testimony, and settlement documents for corrective, remedial, or legal proceedings. Assists with disciplinary proceedings. Participates in negotiations and settlements. Drafts a variety of legal documents. Should have a Law degree and admission to the Bar. Must have 2-6 years of relevant legal experience in a regulatory or legal environment.

Additional info

Job Number: 006670. Submit cover letter and resume online. A writing sample may be required as part of the submission. No phone calls.

Company info

Hiring Coordinator
FINRA.
One Liberty Plaza
New York City, NY 10006

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