Principal Counsel, Enforcement

Min 7 yrs required

Full-time

No

H1: Principal Counsel, Enforcement - $150,000-$200,000/year - Full Time - R-007990

H2: Join Our Team as an Enforcement Principal Counsel with FINRA!

Are you a skilled and experienced attorney looking for a challenging and rewarding career opportunity? Look no further than FINRA, the Financial Industry Regulatory Authority, Inc. We are currently seeking a Principal Counsel, Enforcement to join our team and contribute to our mission of promoting market integrity and protecting investors. In this role, you will have the opportunity to use your legal expertise to assess and advocate in Enforcement matters and play a leading role in advancing settlement discussions and conducting litigation.

Salary Information:
- $150,000-$200,000/year
- Discretionary bonus potential
- Comprehensive health, dental, and vision insurance
- 401(k) plan with company match and additional FINRA-funded retirement contribution
- Tuition reimbursement and many other benefits

Job Title: Principal Counsel, Enforcement

Experience:
- A minimum of 7 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

Job Summary:

As the Enforcement Principal Counsel, you will be responsible for assessing and advocating in Enforcement matters. This includes collaborating with investigative staff, researching legal requirements, recommending outcomes, and conducting litigation preparation. You will also play a leading role in advancing settlement discussions and drafting settlement documents. In addition, you will leverage data analytics and technology to advance investigations and collaborate effectively with other FINRA departments and attorneys. This is a full-time position with a competitive salary and benefits package.

Job Responsibilities:

- Determine and execute an effective risk-based legal strategy to assess the record fairly
- Collaborate with investigative staff to plan investigations and fully develop the record
- Research and identify legal requirements for charges
- Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case
- Play a leading role in advancing settlement discussions with respondents
- Conduct litigation preparation and contribute to litigation, including drafting complaints and conducting witness examinations
- Draft clear and organized analysis and effective advocacy documents
- Plan for and conduct effective on-the-record testimony of witnesses
- Draft precise and transparent settlement documents
- Leverage data analytics and technology to advance investigations
- Collaborate effectively with other Enforcement attorneys and FINRA departments
- Prioritize matters based on risk
- Collaborate effectively with managers and incorporate feedback into planning and execution

Education/Experience:

- A minimum of 7 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:

- Work outside of business hours and overnight travel may be required

Application Process:

To be considered for this position, please submit an application through our website. Applications are accepted on an ongoing basis.

Important Information:

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures related to our role as a securities regulator. Employees are required to disclose all brokerage accounts and authorize their broker-dealers to provide FINRA with duplicate statements. Additionally, employees must comply with the Code’s investment restrictions, including disposing of any security issued by a company on FINRA’s Prohibited Company List. Employees may only maintain securities accounts at firms that provide an electronic feed to FINRA and must move accounts to such a firm within 3 months of beginning employment.

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

Join Our Team:

If you are a skilled and experienced attorney looking for a challenging and rewarding career opportunity, FINRA may be the perfect fit for you. Our mission is to promote market integrity and protect investors, and we are always looking for talented individuals to join our team. Apply now and become a part of our dynamic organization!

Not mentioned

Comprehensive health, dental, and vision insurance; life and disability insurance; 401(k) plan with company match; tuition reimbursement; volunteer service days; military leave; jury duty leave; bereavement leave; voting and election official leave; care of family member leave; childbirth and parental leave; paid time off; holidays

Not mentioned

Legal strategy, Risk assessment, Advocacy, Financial regulations, Securities laws, FINRA rules, Oral and written communication, Litigation skills, Interpersonal skills, Data analytics, Technology, Collaboration, Prioritization

Juris Doctor (J.D.) degree

Submit application on FINRA Careers site

Qualification and Experience Juris Doctor (J.D.) degree, Admission to state bar

Legal