Principal Counsel, Enforcement

Min 7 yrs required

Full-time

No

H1: Principal Counsel, Enforcement - Apply Now!
H2: Join FINRA as a Principal Counsel and make a difference in the financial regulatory space

Organizations: FINRA (Financial Industry Regulatory Authority)

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

Salary: Not specified, but may include a discretionary bonus in addition to base pay

Job Type: Full-time

Posted: Today

Job Requisition ID: R-007990

FINRA, the Financial Industry Regulatory Authority, is seeking a highly experienced and skilled Principal Counsel to join their Enforcement team. As a Principal Counsel, you will play a crucial role in conducting rigorous assessments and advocating for fair outcomes in enforcement matters.

Key Responsibilities:

- Develop and execute a risk-based legal strategy to fairly assess the record
- Collaborate with investigative staff to plan and develop investigations
- Conduct research to identify legal requirements for charges
- Recommend fair and effective outcomes based on evidence and a well-reasoned legal framework
- Lead 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 and conduct effective on-the-record testimony of witnesses
- Draft precise and transparent settlement documents
- Utilize data analytics and technology to advance investigations
- Collaborate effectively with other Enforcement attorneys and FINRA departments
- Prioritize matters based on risk
- Incorporate feedback from managers into planning and execution

Requirements:

- 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:

- May require work outside of business hours and overnight travel

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

FINRA offers a comprehensive benefits package including health, dental, and vision insurance, life and disability insurance, retirement plans, and more. They also encourage a healthy work-life balance and offer generous time-off and paid leave options.

Important Information:

FINRA employees are required to disclose all brokerage accounts they maintain and to authorize their broker-dealers to provide duplicate statements to FINRA. Employees must also comply with the company's policy on nepotism and execute a confidentiality and invention assignment agreement.

FINRA is an Equal Opportunity and Affirmative Action Employer, valuing diversity and inclusion in the workplace. They abide by the requirements of 41 CFR ) and 41 CFR ) which prohibit discrimination against qualified individuals with disabilities and protected veterans, respectively.

Join FINRA as a Principal Counsel and make a significant impact in the financial regulatory space. Apply now and be a part of a dynamic and diverse team at FINRA!

Not specified

Comprehensive health, dental, and vision insurance; life and disability insurance; retirement plan with company match; tuition reimbursement; paid time off and holidays; volunteer service days

Not specified

Legal strategy, risk assessment, advocacy, investigative planning, research, litigation, settlement negotiations, data analytics, technology, collaboration, communication, time management

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

Submit an application on FINRA's Careers site

Qualification and Experience Juris Doctor (J.D.) degree from an accredited law school, active bar membership

Legal