Principal Counsel – Enforcement
FINRA
full-time
Posted on:
Location Type: Hybrid
Location: New York City • California • Colorado • United States
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Salary
💰 $131,200 - $248,700 per year
Job Level
About the role
- 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
- 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
- Prioritize matters based on risk
- Collaborate effectively with managers and incorporate feedback into planning and execution
Requirements
- A law degree and appropriately licensed to practice law in all applicable jurisdictions
- 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
Benefits
- Health, dental and vision insurance
- Basic life and accidental death and dismemberment insurance
- Supplemental life insurance
- Short- and long-term disability insurance
- Long-term care insurance
- Business travel accident 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
- 9 sick days
- 2 volunteer service days
- Military leave
- Jury duty leave
- Bereavement leave
- Childbirth and parental leave
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
legal strategylitigation preparationdrafting advocacy documentsdata analyticsrisk assessmentevidence analysissettlement document draftingon-the-record testimony
Soft Skills
collaborationcommunicationinterpersonal skillsorganizational skillsleadershipplanningfeedback incorporation
Certifications
law degreelicensed to practice law