Enforcement Counsel resolving non-complex Enforcement matters and contributing to larger complex matters at FINRA. Engaging in legal strategies and effective advocacy for investor protection and market integrity.
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 fair and effective outcomes accurately assessing evidence and applying a well-reasoned legal framework to cases
Identify potential risks, defenses, individual liability and Principal Considerations
Negotiate settlements demonstrating knowledge of the record and law
Prepare cases for litigation facilitating prompt filing and efficient document production
Conduct non-complex witness examinations in litigation
Monitor and advise in investigations ensuring focus and identifying necessary inquiries
Requirements
A law degree and appropriately licensed to practice law in all applicable jurisdictions
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
Benefits
Comprehensive health, dental and vision insurance
Basic life, accidental death and dismemberment insurance
Short- and long-term disability insurance
401(k) plan with company match
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance programs
Wellness programs
15 days of paid time off, 5 personal days, and 9 sick days
Two volunteer service days
Military leave, jury duty leave, bereavement leave, voting leave, care of a family member leave
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