Job Details

Senior Counsel Market Regulation Enforcement

Company name

FINRA.

Organization Type

Public Interest

Job Type

Attorney

Date Last Verified

Jul 06,2019

Valid Through

Oct 19,2019

Posted on

Apr 18,2019

Years of Experience

Min 9 yrs required

Location

New York City, NY, United States

Employment Type

Full-time

Industry

Legal
Practice Area
Litigation >> Litigation - General/Commercial
Apply for this job
 
Your Email:
Upload Resume:

 
19 hits

Profile

Senior Counsel
The candidate works under minimal supervision to independently resolve all types of Enforcement matters. Independently resolve all types of Enforcement matters based on rigorous assessment and effective advocacy: Determine and execute an effective risk-based strategy to complete and assess the record fairly. Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case. Identify potential policy issues, risks, defenses, individual liability, and Principal Considerations. Accurately and succinctly discuss any factual issue and advocate for company’s position in meetings with respondents and other stakeholders. Effectively negotiate settlements, demonstrating knowledge of the record, familiarity with the law and potential defenses, and sensitivity to risks. Play a leading role in determining effective litigation strategy in any type of litigated matter. Draft clear and organized analysis and effective advocacy documents that require minimal editing. Plan for and conduct or oversee any type of OTR, demonstrating mastery of the overall record and ability to create a transcript that can be used for impeachment purposes. Independently achieve Enforcement outcomes that are foreseeable and transparent. Research and define the legal requirements for charges. Identify and assess relevant Principal Considerations. Recommend charges and sanctions consistent with company’s priorities and principles. Identify and escalate issues where rule and guidance are ambiguous or silent. Identify potential regulatory duplication or inconsistencies, and communicate with other regulators to resolve. Lead discussions with other departments regarding interpretive or policy issues. Clearly explain legal reasoning in meetings with respondents and other stakeholders. Draft and finalize settlement documents that require only minor revisions by managers and that clearly describe the facts, the basis for company charges, and the Principal Considerations that support the sanction. Independently resolve all types of Enforcement matters timely. Prioritize matters based on risk. Establish timelines and meet them, including directing the work of other team members to progress the case in a timely fashion. Actively monitor and advise in investigations to ensure they are focused and targeted, and identify necessary inquiries in real time. Identify and escalate matters or issues that require re-prioritization, and recommend next steps or alternative approaches. Prepare cases for litigation to facilitate prompt filing, efficient document production, and a timely hearing. Demonstrate effective oral advocacy during negotiations and discussions, facilitating efficient progress of a matter. Produce written work product that requires only minor revision. Independently collaborate with investigative staff to produce a sound factual record in all matters. Partner with investigative staff on investigation to fully and efficiently develop the record; Proactively provide relevant and accurate legal advice to investigative and legal staff; Advise investigative staff on concerns or needs related to any potential litigation, such as required witness testimony, evidence related to defenses or mitigation, and extensive document production; Demonstrate ability to prepare investigative staff for litigation; Work effectively with investigative staff to ensure that written descriptions of factual findings are supported by the record, accurate and clear. Demonstrate ability to perform independently and lead teams where appropriate. Keep managers informed and incorporate feedback into planning and execution. Identify opportunities to work with other staff or leverage other matters for more efficient results, and manage team’s work product. Identify potential team members based on expertise, skills, and case demands. Counsel other staff on efficient ways to leverage collective knowledge and work across the organization. Effectively communicate with other team members about factual and legal issues for analysis. Demonstrate ability to perform any required role in litigation. Identify and oversee writing assignments for other staff members where possible to achieve more efficient results. Should have Law degree and admission to the Bar. Must have 9 years of relevant legal experience in a regulatory or legal environment.

Additional info

Job Number: 007462.Submit a cover letter; resume; writing sample.

Company info

Hiring Coordinator
FINRA.
One Liberty Plaza
New York City, NY 10006

Similar Jobs:

Senior Attorney - Market Regulation Enforcement The candidate will assist in resolving Enforcement ...
Managing Director
Bronx, NY
Managing Director, Impact Litigation Practice RESPONSIBILITIES: In consultation with other practice...
Deputy Director, Housing Law The candidate will work closely with the Housing Unit Director, the Te...
     


Similar Jobs
Staff Attorney
Public Interest, Brooklyn Legal Services
Brownsville, NY
Apply Now >
Staff Attorney, Economic Justice Unit
Public Interest, Bronx Legal Services
Bronx, NY
Apply Now >