Enforcement Counsel

1 month ago


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

The Enforcement Counsel plays a crucial role in resolving non-complex Enforcement matters, contributing high-quality work to large complex matters, and providing expert legal advice to investigative and legal staff.

Key Responsibilities:
  • Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy, executing a well-reasoned legal strategy to assess the record fairly.
  • Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case.
  • Identify potential risks, defenses, individual liability, and Principal Considerations, effectively negotiating settlements and demonstrating knowledge of the record and familiarity with the law and potential defenses.
  • Contribute meaningfully to settlement negotiations and discussions with respondents, demonstrating knowledge of the record and familiarity with the law and potential defenses.
  • Assist in litigation preparation and contribute meaningfully to litigation, including conducting non-complex witness examinations in non-complex litigation.
  • Draft clear and organized analysis and effective advocacy documents, planning for and conducting OTRs of witnesses, demonstrating ability to develop an effective transcript through active listening, follow-up, and knowledge of the record.
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 performed in CA, Washington, DC, CO, HI, MN, VT, New York, NY, WA, and MD, the proposed salary range is outlined below. 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



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