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The candidate will execute an effective risk-based legal strategy to assess the record fairly. Collaborate with investigative staff to plan investigations and fully develop the record. Research and identify the legal requirements for charges. Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case. Advance settlement discussions with respondents. Conduct litigation preparation and
The candidate will perform rigorous assessment and effective advocacy in Enforcement matters. Execute an effective risk-based legal strategy to assess the record fairly. Collaborate with investigative staff to plan investigations and fully develop the record. Research and identify the legal requirements for charges. Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case. Advance
Senior Litigation Counsel, Enforcement
The candidate will work under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC). Represent the organization in a first or second chair capacity in complex disciplinary proceedings involving violations of the federal securities laws, Organization and NASD Rules, Municipal Sec
## Director, Enforcement - Any FINRA Location
FINRA is seeking an experienced and highly motivated professional to join the Enforcement team as a Director. The Director will manage a team of 5-8 Enforcement attorneys, ensuring that the outcome in every matter is supported by complete, accurate and well-supported factual findings applied to a clear legal framework.
### Essential Job Functions
The Director is responsible for the day-to-day management of a
Senior Vice President, Enforcement Legal
The candidate will serve as a senior legal advisor to the EVP of Enforcement, responsible for monitoring and advising on high-impact and noteworthy investigations and disciplinary actions, including litigation, across the department and in coordination with the organization's Regulatory Operations partners, as well as managing the performance of the Enforcement attorney teams. Work closely with the EVP, and the VP, Enforcement Investi