Financial Regulatory Specialist

7 days ago

Washington, Washington, D.C., United States finra Full time
Job Summary

The Enforcement Principal Counsel plays a critical role in advancing FINRA's mission to protect investors and maintain fair and orderly markets. This position requires a seasoned attorney with expertise in financial regulatory law and a proven track record of success in enforcement matters.

Key Responsibilities
  • Risk-Based Legal Strategy: Develop and execute a comprehensive risk-based legal strategy to assess and address enforcement matters.
  • Investigation and Analysis: Collaborate with investigative staff to plan and conduct investigations, and analyze evidence to determine the best course of action.
  • Legal Research and Recommendations: Conduct thorough legal research and provide recommendations on charges, outcomes, and other enforcement-related matters.
  • Settlement Negotiations: Play a leading role in negotiating settlements with respondents, ensuring fair and effective outcomes.
  • Litigation Support: Contribute substantively to litigation, including drafting complaints, conducting witness examinations, and preparing for on-the-record testimony.
  • Document Preparation: Draft clear and organized analysis and advocacy documents, including settlement agreements and other enforcement-related materials.
  • Collaboration and Communication: Collaborate effectively with other Enforcement attorneys, FINRA departments, and external stakeholders to advance enforcement objectives.
  • Priority Setting: Prioritize matters based on risk, ensuring that the most critical enforcement actions are addressed promptly and effectively.
Requirements
  • Experience: A minimum of seven years of relevant legal experience in the financial regulatory space, or related areas.
  • Knowledge: Knowledge of securities laws and FINRA rules is preferred.
  • Skills: Excellent oral and written communication, litigation, and interpersonal skills.
Work Conditions
  • Flexibility: Work outside of business hours and overnight travel may be required.
Compensation

FINRA offers a competitive salary range based on location and experience. The proposed salary range for this position is outlined below:

  • California: Minimum Salary $124,300, Maximum Salary $235,500
  • Washington, DC/Maryland: Minimum Salary $124,300, Maximum Salary $225,700
  • Colorado/Hawaii/Minnesota/Vermont: Minimum Salary $108,200, Maximum Salary $196,200
  • New York, NY: Minimum Salary $129,800, Maximum Salary $235,500
  • Washington State: Minimum Salary $108,200, Maximum Salary $225,700

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