Description:

The Enforcement Counsel resolves non-complex Enforcement matters, and contributes meaningful high quality work for large complex matters.

Essential Job Functions:

Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy

Execute an effective risk-based 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 negotiate settlements, 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
Contribute meaningfully to internal discussions regarding legal strategy, demonstrating an understanding of the factual record and legal framework
Assist in litigation preparation and contribute meaningfully to litigation, including by conducting non-complex witness examinations in non-complex litigation
Draft clear and organized analysis, and effective advocacy documents
Plan for and conduct OTRs of witnesses, demonstrating ability to develop an effective transcript through active listening, follow-up, and knowledge of the record

Achieve Enforcement outcomes that are foreseeable and transparent in non-complex matters
Identify and assess relevant Principal Considerations
Recommend charges and sanctions consistent with FINRA's priorities and principles
Draft and finalize settlement documents that clearly describe the facts, the basis for FINRA charges, and the Principal Considerations that support the sanction
Research and identify the legal requirements for charges
Identify and escalate issues where rules and guidance are ambiguous or silent
Contribute to discussions with other departments regarding interpretive or policy issues
Explain legal reasoning regarding non-complex matters or issues in meetings with respondents or other stakeholders
Resolve non-complex Enforcement matters timely
Actively monitor and advise in investigations to ensure they are focused and targeted, and identify necessary inquiries in real time
Prepare cases for litigation to facilitate prompt filing, efficient document production, and a timely hearing
Manage time effectively to independently meet deadlines and provide work product in a timely manner
Demonstrate effective oral advocacy during negotiations and discussions, facilitating efficient progress of a matter
Prioritize matters based on risk
Establish timelines and manage teamwork and tasks to achieve them
Produce timely and complete written work product
Identify and escalate matters or issues that require re-prioritization
Avoid unnecessary research or investigative steps
Successfully collaborate with investigative staff to produce a sound factual record in non-complex matters
Partner with investigative staff to plan investigation and fully develop the record
Provide relevant and accurate legal advice to investigative and legal staff
Work effectively with investigative staff to ensure that written descriptions are supported by the record, accurate and clear
Identify and escalate gaps in the investigative record
Objectively review and clearly summarize sufficiency of evidence to establish a charge
Demonstrate ability to resolve non-complex matters with supervision, and provide high quality work in team-based matters
Keep managers informed and incorporate feedback into planning and execution
Complete assignments in an efficient manner; leverage existing relevant precedents, such as work product in similar cases, where possible
Effectively communicate with other team members about non-complex factual and legal issues for analysis
Assist in litigation preparation by preparing exhibits, drafting witness outlines, and participating in strategy discussions
Conduct non-complex witness examinations in litigation
Demonstration of FINRA's values
Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity

Education/Experience Requirement:

A law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements.
A minimum of six years relevant legal experience in a regulatory or legal environment.
Excellent oral and written communication and litigation skills.
Excellent interpersonal skills.

Work Conditions:

Hybrid work environment, with defined in-person presence requirements.
Work outside of business hours and overnight travel may be required.

For work that is performed in CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate's skill set, level of experience, education, and market considerations.

Los Angeles, CA: Minimum Salary $130,688, Maximum Salary $196,032

San Francisco, CA: Minimum Salary $137,222, Maximum Salary $205,834

CO/FL/TX: Minimum Salary $95,300, Maximum Salary $171,800

IL/PA: Minimum Salary $104,900, Maximum Salary $189,400

MA/MD/VA/Washington, DC: Minimum Salary $109,600 Maximum Salary $197,600

NY/NJ: Minimum Salary Minimum Salary $109,600, Maximum Salary $206,200

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

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