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Litigation - General/Commercial Attorney in Rockville, MD

FINRA. Jan 13,2021 Sep 08,2020 Location USA Rockville MD
This job is expired...

Public Interest

Attorney

Litigation - General (consumer)

Min 2 yrs required

Profile

Senior Attorney, 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 from initiation 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 and participate 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.

Qualification and Experience

The candidate should have Law degree and admission to the bar. A minimum of two years relevant legal experience in a regulatory or legal environment. Advanced oral and written communication and litigation skills. Excellent interpersonal skills.

Additional info

Ref: R-001839

Company info