Principal Counsel, Enforcement
9 hours ago
The Principal Counsel, Enforcement, plays a critical role in advancing the Enforcement Division's mission to protect investors and maintain fair and orderly markets.
Key Responsibilities:- Develop and execute a comprehensive legal strategy to assess and address Enforcement matters.
- Collaborate with investigative staff to plan and execute investigations, ensuring a thorough and fair record.
- Conduct research and analysis to identify legal requirements and recommend effective outcomes.
- Advise on and contribute to litigation preparation, including drafting complaints and conducting witness examinations.
- Develop and maintain effective advocacy documents and testimony.
- Collaborate with Enforcement attorneys and other FINRA departments to advance the division's goals.
- Prioritize matters based on risk and collaborate with managers to incorporate feedback into planning and execution.
- A minimum of seven years of relevant legal experience in the financial regulatory space or related areas.
- Knowledge of securities laws and FINRA rules is preferred.
- Excellent oral and written communication and litigation skills.
- Excellent interpersonal skills.
- Work outside of business hours and overnight travel may be required.
Salary ranges vary by location. Please refer to the chart below for proposed salary ranges for the corresponding location.
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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