Counsel, Enforcement
FINRA
full-time
Posted on:
Location Type: Hybrid
Location: Rockville • California • Colorado • United States
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Salary
💰 $109,600 - $206,200 per year
About the role
- 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 fair and effective outcomes accurately assessing evidence and applying a well-reasoned legal framework to cases
- Identify potential risks, defenses, individual liability and Principal Considerations
- Negotiate settlements demonstrating knowledge of the record and law
- Prepare cases for litigation facilitating prompt filing and efficient document production
- Conduct non-complex witness examinations in litigation
- Monitor and advise in investigations ensuring focus and identifying necessary inquiries
Requirements
- A law degree and appropriately licensed to practice law in all applicable jurisdictions
- 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
Benefits
- Comprehensive health, dental and vision insurance
- Basic life, accidental death and dismemberment insurance
- Short- and long-term disability insurance
- 401(k) plan with company match
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance programs
- Wellness programs
- 15 days of paid time off, 5 personal days, and 9 sick days
- Two volunteer service days
- Military leave, jury duty leave, bereavement leave, voting leave, care of a family member leave
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
litigationrisk assessmentlegal strategyevidence assessmentnegotiationwitness examinationdocument productioncase preparation
Soft Skills
oral communicationwritten communicationinterpersonal skillsadvocacyanalytical thinking
Certifications
law degreelicensed to practice law