Counsel, Enforcement

FINRA•Rockville, MD

6d•Hybrid

About The Position

The Enforcement Counsel resolves non-complex Enforcement matters, and contributes meaningful high quality work for large complex matters. Essential Job Functions: 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, defenses, individual liability and Principal Considerations Effectively negotiate settlements, demonstrating knowledge of the record, and familiarity with the law and potential defenses Contribute meaningfully to settlement negotiations and discussions with respondents, demonstrating knowledge of the record and familiarity with the law and potential defenses Contribute meaningfully to internal discussions regarding legal strategy, demonstrating an understanding of the factual record and legal framework Assist in litigation preparation and contribute meaningfully to litigation, including by conducting non-complex witness examinations in non-complex litigation Draft clear and organized analysis, and effective advocacy documents Plan for and conduct OTRs of witnesses, demonstrating ability to develop an effective transcript through active listening, follow-up, and knowledge of the record Achieve Enforcement outcomes that are foreseeable and transparent in non-complex matters Identify and assess relevant Principal Considerations Recommend charges and sanctions consistent with FINRA’s priorities and principles Draft and finalize settlement documents that clearly describe the facts, the basis for FINRA charges, and the Principal Considerations that support the sanction Research and identify the legal requirements for charges Identify and escalate issues where rules and guidance are ambiguous or silent Contribute to discussions with other departments regarding interpretive or policy issues Explain legal reasoning regarding non-complex matters or issues in meetings with respondents or other stakeholders Resolve non-complex Enforcement matters timely Actively monitor and advise in investigations to ensure they are focused and targeted, and identify necessary inquiries in real time Prepare cases for litigation to facilitate prompt filing, efficient document production, and a timely hearing Manage time effectively to independently meet deadlines and provide work product in a timely manner Demonstrate effective oral advocacy during negotiations and discussions, facilitating efficient progress of a matter Prioritize matters based on risk Establish timelines and manage teamwork and tasks to achieve them Produce timely and complete written work product Identify and escalate matters or issues that require re-prioritization Avoid unnecessary research or investigative steps Successfully collaborate with investigative staff to produce a sound factual record in non-complex matters Partner with investigative staff to plan investigation and fully develop the record Provide relevant and accurate legal advice to investigative and legal staff Work effectively with investigative staff to ensure that written descriptions are supported by the record, accurate and clear Identify and escalate gaps in the investigative record Objectively review and clearly summarize sufficiency of evidence to establish a charge Demonstrate ability to resolve non-complex matters with supervision, and provide high quality work in team-based matters Keep managers informed and incorporate feedback into planning and execution Complete assignments in an efficient manner; leverage existing relevant precedents, such as work product in similar cases, where possible Effectively communicate with other team members about non-complex factual and legal issues for analysis Assist in litigation preparation by preparing exhibits, drafting witness outlines, and participating in strategy discussions Conduct non-complex witness examinations in litigation Demonstration of FINRA’s values Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity

Requirements

A law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements.
A minimum of six years relevant legal experience in a regulatory or legal environment.
Excellent oral and written communication and litigation skills.
Excellent interpersonal skills.

Responsibilities

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, defenses, individual liability and Principal Considerations
Effectively negotiate settlements, demonstrating knowledge of the record, and familiarity with the law and potential defenses
Contribute meaningfully to settlement negotiations and discussions with respondents, demonstrating knowledge of the record and familiarity with the law and potential defenses
Contribute meaningfully to internal discussions regarding legal strategy, demonstrating an understanding of the factual record and legal framework
Assist in litigation preparation and contribute meaningfully to litigation, including by conducting non-complex witness examinations in non-complex litigation
Draft clear and organized analysis, and effective advocacy documents
Plan for and conduct OTRs of witnesses, demonstrating ability to develop an effective transcript through active listening, follow-up, and knowledge of the record
Achieve Enforcement outcomes that are foreseeable and transparent in non-complex matters
Identify and assess relevant Principal Considerations
Recommend charges and sanctions consistent with FINRA’s priorities and principles
Draft and finalize settlement documents that clearly describe the facts, the basis for FINRA charges, and the Principal Considerations that support the sanction
Research and identify the legal requirements for charges
Identify and escalate issues where rules and guidance are ambiguous or silent
Contribute to discussions with other departments regarding interpretive or policy issues
Explain legal reasoning regarding non-complex matters or issues in meetings with respondents or other stakeholders
Resolve non-complex Enforcement matters timely
Actively monitor and advise in investigations to ensure they are focused and targeted, and identify necessary inquiries in real time
Prepare cases for litigation to facilitate prompt filing, efficient document production, and a timely hearing
Manage time effectively to independently meet deadlines and provide work product in a timely manner
Demonstrate effective oral advocacy during negotiations and discussions, facilitating efficient progress of a matter
Prioritize matters based on risk
Establish timelines and manage teamwork and tasks to achieve them
Produce timely and complete written work product
Identify and escalate matters or issues that require re-prioritization
Avoid unnecessary research or investigative steps
Successfully collaborate with investigative staff to produce a sound factual record in non-complex matters
Partner with investigative staff to plan investigation and fully develop the record
Provide relevant and accurate legal advice to investigative and legal staff
Work effectively with investigative staff to ensure that written descriptions are supported by the record, accurate and clear
Identify and escalate gaps in the investigative record
Objectively review and clearly summarize sufficiency of evidence to establish a charge
Demonstrate ability to resolve non-complex matters with supervision, and provide high quality work in team-based matters
Keep managers informed and incorporate feedback into planning and execution
Complete assignments in an efficient manner; leverage existing relevant precedents, such as work product in similar cases, where possible
Effectively communicate with other team members about non-complex factual and legal issues for analysis
Assist in litigation preparation by preparing exhibits, drafting witness outlines, and participating in strategy discussions
Conduct non-complex witness examinations in litigation
Demonstration of FINRA’s values Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity

Benefits

Employees may be eligible for a discretionary bonus in addition to base pay.
Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law.
As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance.
Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.
FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
Time Off and Paid Leave FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year).
Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule).
Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment).
Full-time employees receive nine paid holidays.

Stand Out From the Crowd

Upload your resume and get instant feedback on how well it matches this job.

Upload and Match Resume