Principal Counsel

3 weeks ago


Chicago, United States finra Full time

The Enforcement Counsel performs rigorous assessment and effective advocacy in Enforcement matters.

  • Determine and execute an effective risk-based legal strategy to assess the record fairly.
  • Collaborate with investigative staff to plan investigations and fully develop the record.
  • Research and identify the legal requirements for charges.
  • Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case.
  • Play a leading role in advancing settlement discussions with respondents.
  • Play a leading role in conducting litigation preparation and contributing substantively to litigation, including by drafting complaints and conducting witness examinations.
  • Draft clear and organized analysis, and effective advocacy documents.
  • Plan for and conduct effective on-the-record testimony of witnesses.
  • Draft precise and transparent settlement documents.
  • Leverage data analytics and technology to advance investigations.
  • Collaborate effectively with other Enforcement attorneys, including as a leading member of teams handling complex matters.
  • Collaborate effectively with other FINRA departments.
  • Prioritize matters based on risk.
  • Collaborate effectively with managers and incorporate feedback into planning and execution.

Education/Experience

  • 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.


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