Principal Counsel, Enforcement

Min 7 yrs required

Full-time

No

Principal Counsel, Enforcement - Salary, Job Title, and Experience Information

Job Title: Principal Counsel, Enforcement

Organization: FINRA (Financial Industry Regulatory Authority)

Experience: Minimum of seven years of relevant legal experience in the financial regulatory space or related areas.

Salary: Not specified

Locations: Rockville, MD; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL; Boston, MA; Boca Raton, FL; Woodbridge, NJ; Washington, DC; San Francisco, CA; Philadelphia, PA; New York, NY; Los Angeles, CA.

Time Type: Full time

Posted On: Posted Today

Job Requisition ID: R-007990

Overview:

The Enforcement Principal Counsel at FINRA is responsible for performing rigorous assessment and effective advocacy in Enforcement matters. This role involves determining and executing an effective risk-based legal strategy, collaborating with investigative staff, researching and identifying legal requirements, recommending fair and effective outcomes, and playing a leading role in advancing settlement discussions and conducting litigation preparation.

Key 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 the 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.
- Play a leading role in conducting litigation preparation and contributing substantively to litigation, including by 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, including as a leading member of teams handling complex matters.
- Collaborate effectively with other FINRA departments.
- Prioritize matters based on risk.
- Collaborate effectively with managers and incorporate feedback into planning and execution.

Education/Experience:

- 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.

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. Applications are accepted on an ongoing basis.

Important Information:

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. Employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism.

Search Firm Representatives:

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. All resumes submitted without a valid written agreement and task order in place will be deemed the sole property of FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer:

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status, or any other classification protected by federal, state, or local laws. FINRA abides by the requirements of 41 CFR ) and 41 CFR ) which prohibit discrimination against qualified individuals on the basis of disability and protected veteran status, respectively.

Benefits:

Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental, and vision insurance, as well as additional insurance options such as basic and supplemental life, accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, and legal insurance. Employees also have immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution. Other benefits include tuition reimbursement, time off for health and wellness, volunteer service days, and paid holidays.

Conclusion:

If you are an experienced legal professional with a background in financial regulatory matters, this may be the perfect opportunity for you. As a Principal Counsel for FINRA, you will have the opportunity to work with a team of talented individuals and make a significant impact in the financial industry. Apply now and join our team!

Comprehensive health, dental, and vision insurance; life, accidental death and dismemberment, and disability insurance; retirement contributions; tuition reimbursement; time off for personal, sick, and volunteer days; paid holidays; military, jury duty, bereavement, and family care leave; childbirth and parental leave; and employee assistance programs.

Legal research, risk assessment, advocacy, litigation, negotiation, data analysis, technology proficiency, communication, interpersonal skills, time management, prioritization.

Juris Doctor (J.D.) degree from an accredited law school.

Submit an application through the FINRA Careers website.

Qualification and Experience Juris Doctor (J.D.) degree from an accredited law school, admission to the bar in at least one state, minimum of 7 years of relevant legal experience in financial regulation or related areas.

Legal