Principal Counsel, Enforcement

2 days ago

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

The Enforcement Principal Counsel plays a critical role in advancing the interests of FINRA by performing rigorous assessments and effective advocacy in Enforcement matters.

Key Responsibilities
  • Develop and execute a comprehensive risk-based legal strategy to ensure fair and effective outcomes in Enforcement matters.
  • Collaborate with investigative staff to plan and execute investigations, and fully develop the record.
  • Conduct thorough research to identify legal requirements for charges and recommend fair and effective outcomes.
  • Play a leading role in advancing settlement discussions with respondents and conducting litigation preparation.
  • Draft clear and organized analysis and effective advocacy documents.
  • Plan and conduct effective on-the-record testimony of witnesses and draft precise and transparent settlement documents.
  • Leverage data analytics and technology to advance investigations and collaborate effectively with other Enforcement attorneys and FINRA departments.
  • Prioritize matters based on risk and collaborate effectively with managers to incorporate feedback into planning and execution.
Requirements
  • A minimum of seven years relevant legal experience in the financial regulatory space or related areas.
  • Knowledge of securities laws and FINRA rules 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

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 $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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