Principal Counsel, Enforcement

Min 7 yrs required

Full-time

No

H1: Principal Counsel, Enforcement - FINRA Careers
H2: Join Our Team as a Principal Counsel, Enforcement

FINRA, the Financial Industry Regulatory Authority, is seeking a highly skilled and experienced Principal Counsel to join our Enforcement team. This is a full-time position with locations available in Rockville, MD, Jersey City, NJ, Jericho, NY, Denver, CO, and Dallas, TX.

Responsibilities:

- Develop and execute risk-based legal strategies for Enforcement matters
- Collaborate with investigative staff to plan and conduct investigations
- Research and identify legal requirements for charges
- Make recommendations for fair and effective outcomes based on evidence and legal framework
- Lead settlement discussions with respondents
- Conduct litigation preparation and contribute to litigation process
- Draft clear and organized analysis and advocacy documents
- Conduct effective on-the-record testimony of witnesses
- Draft precise and transparent settlement documents
- Utilize data analytics and technology to advance investigations
- Collaborate with other Enforcement attorneys and FINRA departments
- Prioritize matters based on risk
- Incorporate feedback from managers into planning and execution

Qualifications:

- Minimum of 7 years of relevant legal experience in financial regulatory or related areas
- Knowledge of securities laws and FINRA rules preferred
- Excellent oral and written communication skills
- Strong interpersonal skills

Work Conditions:

- May require work outside of business hours and overnight travel

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

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.

Benefits:

- Eligible for a discretionary bonus in addition to base pay
- Comprehensive health, dental, and vision insurance
- Additional insurance options including life, accidental death and dismemberment, short and long-term disability, and more
- Immediate participation and vesting in 401(k) plan with company match
- Eligibility for participation in additional FINRA-funded retirement contribution
- Tuition reimbursement and many other benefits

Time Off and Paid Leave:

- 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in first year)
- 2 volunteer service days (based on full-time schedule)
- Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave (available after 90 days of employment)
- Full-time employees receive 9 paid holidays (based on full-time schedule)

Important Information:

- FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures related to our role as a securities regulator
- Employees must disclose all brokerage accounts and authorize their broker-dealers to provide FINRA with duplicate statements
- Employees must comply with investment restrictions, including disposing of any securities on FINRA’s Prohibited Company List
- Employees may only maintain securities accounts at firms that provide an electronic feed (e-feed) of data to FINRA
- Employees must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism

Search Firm Representatives:

- FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity
- A valid written agreement and task order must be in place before any resumes are submitted to FINRA
- All resumes submitted without a valid written agreement and task order will be deemed the sole property of FINRA

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 )

Join our team at FINRA and become a part of a dynamic and diverse organization dedicated to promoting market integrity and protecting investors. Apply today!

Not specified

Comprehensive health, dental, and vision insurance; life and disability insurance; 401(k) plan with company match; tuition reimbursement; volunteer service days; paid time off; paid holidays; and more.

Not specified

Risk Assessment, Legal Strategy, Investigation, Research, Advocacy, Litigation Preparation, Data Analytics, Collaboration, Communication, Time Management

Juris Doctor degree

Submit application on FINRA Careers website ()

Qualification and Experience Juris Doctor degree and admission to a state bar

Legal