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Regulatory Enforcement Counsel

1 month ago

Rockville, Maryland, United States Financial Industry Regulatory Authority , Inc. Full time
Job Summary

The Enforcement Counsel will resolve non-complex Enforcement matters and contribute meaningful high-quality work for large complex matters. This role requires a strong understanding of regulatory requirements and the ability to effectively advocate for the organization.

Key Responsibilities
  • Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy
  • 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
  • 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
Requirements
  • Law degree and admission to the bar
  • A minimum of four years relevant legal experience in a regulatory or legal environment
  • Excellent oral and written communication and litigation skills
  • Excellent interpersonal skills
Work Conditions
  • Work outside of business hours and overnight travel may be required

For work that is performed in CA, Washington, DC, CO, HI, MN, VT, New York, NY, WA and MD the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate's skill set, level of experience, education, and internal peer compensation comparisons

California: Minimum Salary $106,400, Maximum Salary $200,200

Washington, DC/Maryland: Minimum Salary $106,400 Maximum Salary $191,800

Colorado/Hawaii/Minnesota/Vermont: Minimum Salary $92,500, Maximum Salary $166,800

New York, NY: Minimum Salary $111,000, Maximum Salary $200,200

Washington State: Minimum Salary $92,500, Maximum Salary $191,800

Please note: If the Apply Now button on a job board posting does not take you directly to the FINRA Careers site, enter into your browser to reach our site directly.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at or by email at Please note that this process is exclusively for inquiries regarding application accommodations.

Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits.

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 (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.

Important Information

FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code's investment and securities account restrictions, and new employees must comply with those investment restrictions-including disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice President-by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company's policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person's relatives, friends or associates.

FINRA abides by the requirements of 41 CFR a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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