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Principal Counsel, Enforcement (Salary: Competitive) The Principal Counsel, Enforcement position at FINRA is a full-time role that requires a minimum of seven years of relevant legal experience in the financial regulatory space. The successful candidate will be responsible for performing rigorous assessments and effective advocacy in Enforcement matters. They will also collaborate with other FINRA departments and prioritize matters based on risk. This role offers a competi
The Role: - Assistant General Counsel, Regulatory - Full time - Job Requisition ID: R-008031 Organization: - FINRA (Financial Industry Regulatory Authority) Overview: - FINRA is a not-for-profit entity operating under the oversight of the SEC. - Our mission is investor protection and market integrity. - We sit at the nexus of broker-dealers, policymakers, and investors. Responsibilities: - Render senior-level legal advice and support in connection wit
Counsel, Enforcement The candidate will resolve non-complex Enforcement matters, and contribute meaningful high quality work for large complex matters. Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy. Execute an effective risk-based legal strategy to 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 risks,
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