Principal Counsel, Enforcement

9 hours ago

Washington, Washington, D.C., United States finra Full time
Job Title: Principal Counsel, Enforcement

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.
Requirements:
  • 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 Conditions:
  • Work outside of business hours and overnight travel may be required.
Compensation:

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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