Counsel, Enforcement

FINRA

Enforcement Counsel resolving non-complex Enforcement matters at FINRA. Engaging in risk-based legal strategies, litigation preparation, and negotiations for fair outcomes.

Posted 5/30/2026full-timeNew York City • California, Colorado, District of Columbia, Florida, Illinois, Maryland, Massachusetts, New Jersey, New York, Pennsylvania, Texas, Virginia, Washington • 🇺🇸 United StatesMid-LevelSenior💰 $112,300 - $211,400 per yearWebsite

About the role

Key responsibilities & impact

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 assess evidence, and apply a well-reasoned legal framework
Identify potential risks, defenses, individual liability and Principal Considerations
Negotiate settlements effectively
Contribute to internal discussions regarding legal strategy and assist in litigation preparation
Achieve Enforcement outcomes that are foreseeable and transparent in non-complex matters
Prepare cases for litigation to facilitate prompt filing and efficient document production

Requirements

What you’ll need

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

Comp & perks

Comprehensive health, dental and vision insurance
Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life insurance
Short- and long-term disability, long-term care, business travel accident insurance
401(k) plan with company match, eligibility for additional FINRA-funded retirement contribution
Tuition reimbursement, commuter benefits
Employee assistance and wellness programs
Generous time-off program with 15 days of paid time off, 5 personal days and 9 sick days
Two volunteer service days (based on full-time schedule)
Military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections
Childbirth and parental leave (available after 90 days of employment)
Nine paid holidays

ATS Keywords

✓ Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools

litigation preparationrisk assessmentlegal strategyevidence assessmentsettlement negotiation

Soft Skills

oral communicationwritten communicationinterpersonal skillsadvocacyeffective negotiation

Certifications

law degreelicensed to practice law