Principal Counsel, Enforcement
About The Position
The Enforcement Principal Counsel performs rigorous assessment and effective advocacy in Enforcement matters. Essential Job Functions: Determine and 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. Play a leading role in advancing settlement discussions with respondents. Play a leading role in conducting litigation preparation and contributing substantively to litigation, including by drafting complaints and conducting witness examinations. Draft clear and organized analysis, and effective advocacy documents. Plan for and conduct effective on-the-record testimony of witnesses. Draft precise and transparent settlement documents. Leverage data analytics and technology to advance investigations. Collaborate effectively with other Enforcement attorneys, including as a leading member of teams handling complex matters. Collaborate effectively with other FINRA departments. Prioritize matters based on risk. Collaborate effectively with managers and incorporate feedback into planning and execution. 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 seven years relevant legal experience in the financial regulatory space, or related areas.
- Excellent oral and written communication and litigation skills.
- Excellent interpersonal skills.
Nice To Haves
- Knowledge of securities laws and FINRA rules preferred
Responsibilities
- Determine and 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.
- Play a leading role in advancing settlement discussions with respondents.
- Play a leading role in conducting litigation preparation and contributing substantively to litigation, including by drafting complaints and conducting witness examinations.
- Draft clear and organized analysis, and effective advocacy documents.
- Plan for and conduct effective on-the-record testimony of witnesses.
- Draft precise and transparent settlement documents.
- Leverage data analytics and technology to advance investigations.
- Collaborate effectively with other Enforcement attorneys, including as a leading member of teams handling complex matters.
- Collaborate effectively with other FINRA departments.
- Prioritize matters based on risk.
- Collaborate effectively with managers and incorporate feedback into planning and execution.
- 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.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
Ph.D. or professional degree
Number of Employees
1,001-5,000 employees
