Principal Counsel – Enforcement

FINRA

. Determine and execute an effective risk-based legal strategy to assess the record fairly .

Posted 3/28/2026full-timeNew York City • California, Colorado, Illinois, Maryland, Massachusetts, New Jersey, New York, Pennsylvania, Virginia • 🇺🇸 United StatesLead💰 $131,200 - $248,700 per yearWebsite

About the role

Key responsibilities & impact

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

What you’ll need

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

Comp & perks

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

ATS Keywords

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Applicant Tracking System Keywords

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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