Job Details

Senior Attorney Market Regulation Enforcement

Company name


Organization Type

Public Interest

Job Type


Date Last Verified

Jul 27,2018

Posted on

Jun 11,2018

Years of Experience

2-6 yrs required


Rockville, MD
Practice Area
Finance >> Finance - General
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Senior Attorney, Market Regulation 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. Assigned to handle routine and intermediate-in-scope investigations through recommendation on disposition. May also be assigned to work on more complicated matters alongside more experienced attorneys and investigators on teams or task forces. Polishing litigation and investigative skills and expanding upon understanding of federal securities laws and regulations working under well-defined guidance. Plan for an participate in various tasks related to investigations pertaining to 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 recommend. Participates in interviewing witness and respondents, and dandling 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. Law degree and admission to the Bar is essential. Must have 2-6 years relevant legal experience in a regulatory or legal environment.

Additional info

Job Number: 006715

Company info

Hiring Coordinator
9509 Key West Avenue
Decoverly Building
Rockville, MD 20850