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Organization TypePublic Interest
Years of Experience
Date Last Verified
Senior Attorney / Counsel - Sales Practice 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. Plans for and participates 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. Should have a Law degree and admission to the Bar. Must have 2-6 years of relevant legal experience in a regulatory or legal environment.
Job Number: 006671. Submit cover letter and resume online. A writing sample may be required as part of the submission. No phone calls.
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