Principal Counsel, Enforcement
Company: Financial Industry Regulatory Authority, Inc.
Location: Denver
Posted on: February 22, 2021
Job Description:
Principal Counsel, Enforcement Denver, CO (Job Posting) Chicago,
IL (Job Posting) San Francisco, CA (Job Posting) The Principal
Counsel works under minimal supervision to independently resolve
non-complex Enforcement matters, and to contribute substantive high
quality work for large complex matters.Essential Job Functions:
- Resolve all types of Enforcement matters based on objective and
complete assessment of the facts and law, including independently
resolving non-complex matters.
- Determine and execute an effective risk-based legal strategy to
complete and 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;
- Accurately and succinctly discuss any factual issue and
advocate for FINRA's position in meetings with respondents and
other stakeholders;
- Effectively negotiate settlements, demonstrating knowledge of
the record, familiarity with the law and potential defenses, and
sensitivity to potential risks;
- Play a leading role determining effective litigation strategy,
and conduct non-complex witness examinations in litigation with
minimal direction;
- Draft clear and organized analysis, and effective advocacy
documents;
- Plan and conduct/oversee OTRs, independently demonstrating
technical ability to develop a complete and defensible transcript,
and substantive ability to elicit legally relevant information.
- Achieve Enforcement outcomes that are foreseeable and
transparent, including independently resolving non-complex matters.
- Research and identify the legal requirements for charges;
- Identify and assess relevant Principal Considerations;
- Recommend charges and sanctions consistent with FINRA's
priorities and principles;
- Identify and escalate issues where rule and guidance are
ambiguous or silent;
- Identify potential regulatory duplication or inconsistencies,
and contribute to communications with other regulators to
resolve;
- Contribute to collaborations with other FINRA departments
regarding interpretive or policy issues;
- Clearly explain legal reasoning in meetings with respondents
and other stakeholders
- Draft and finalize settlement documents that require only minor
revisions by managers and that clearly describe the facts, the
basis for FINRA charges, and the Principal Considerations that
support the sanction.
- Resolve all types of Enforcement matters timely, including
independently resolving non-complex matters.
- Prioritize matters based on risk;
- Establish timelines and meet them, including directing the work
of other team members to progress the case in a timely
fashion;
- Actively monitor and advise in investigations to ensure they
are focused and targeted, and identify necessary inquiries in real
time;
- Identify and escalate matters or issues that require
re-prioritization, and recommend next steps or alternative
approaches;
- Prepare cases for litigation to facilitate prompt filing,
efficient document production, and a timely hearing;
- Demonstrate effective oral advocacy during negotiations and
discussions, facilitating efficient progress of a matter;
- Efficiently produce written work product
- Collaborate with investigative staff to produce a sound factual
record, including independent collaboration in non-complex
investigations.
- Partner with investigative staff on investigations to fully and
efficiently develop the record;
- Proactively provide relevant and accurate legal advice to
investigative and legal staff ;
- Advise investigation staff on concerns or needs related to
potential litigation, such as required witness testimony or
evidence related to defenses;
- Demonstrate ability to prepare investigative staff for
litigation;
- Work effectively with investigative staff to ensure that
written descriptions of non-complex matters are supported by the
record, accurate and clear
- Demonstrate ability to perform independently in non-complex
matters, and provide high quality work in team-based matters.For
team-based matters:
- Keep managers informed and incorporate feedback into planning
and execution;--
- Identify opportunities to work with other staff or leverage
other matters for more efficient results, and manage team's work
product;
- Identify potential team members based on expertise, skills, and
case demands;
- Counsel other staff on efficient ways to leverage collective
knowledge and work across the organization;
- Effectively communicate with other team members about factual
and legal issues for analysis;For non-complex matters:
- Demonstrate the ability to meet the goals above with minimal
supervision or day-to-day direction from managers;
- Identify and oversee writing assignments for other staff
members where possible to achieve more efficient results
- Demonstrate the ability to conduct any witness examination in
litigation Education/Experience Requirements:
- Law degree and admission to the bar.
- 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:
- Work outside of business hours and overnight travel may be
required. To be considered for this position, please submit an
application. 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.Please note: If the "Apply Now" button
on a job board posting does not take you directly to the FINRA
Careers site, enter www.finra.org/careers into your browser to
reach our site directly.FINRA strives to make our career site
accessible to all users. If you need a disability-related
accommodation for completing the application process, please
contact FINRA's accommodation help line at 240.386.4865. Please
note that this number is exclusively for inquiries regarding
application accommodations.In addition to a competitive salary,
comprehensive health and welfare benefits, and incentive
compensation, FINRA offers immediate participation and vesting in a
401(k) plan with company match. You will also be eligible for
participation in an additional FINRA-funded retirement
contribution, our tuition reimbursement program and many other
benefits. If you would like to contribute to our important mission
and work collegially in a professional organization that values
intelligence, integrity and initiative, consider a career with
FINRA.Important InformationFINRA's Code of Conduct imposes
restrictions on employees' investments and requires financial
disclosures that are uniquely related to our role as a securities
regulator. FINRA employees are required to disclose to FINRA all
brokerage accounts that they maintain, and those in which they
control trading or have a financial interest (including any trust
account of which they are a trustee or beneficiary and all accounts
of a spouse, domestic partner or minor child who lives with the
employee) and to authorize their broker-dealers to provide FINRA
with duplicate statements for all of those accounts. All of those
accounts are subject to the Code's investment and securities
account restrictions, and new employees must comply with those
investment restrictions-including disposing of any security issued
by a company on FINRA's Prohibited Company List or obtaining a
written waiver from their Executive Vice President-by the date they
begin employment with FINRA. Employees may only maintain securities
accounts that must be disclosed to FINRA at one or more securities
firms that provide an electronic feed (e-feed) of data to FINRA,
and must move securities accounts from other securities firms to a
firm that provides an e-feed within three months of beginning
employment.You can read more about these restrictions here .As
standard practice, employees must also execute FINRA's Employee
Confidentiality and Invention Assignment Agreement without
qualification or modification and comply with the company's policy
on nepotism.Search Firm RepresentativesPlease be advised that FINRA
is not seeking assistance or accepting unsolicited resumes from
search firms for this employment opportunity. Regardless of past
practice, a valid written agreement and task order must be in place
before any resumes are submitted to FINRA. All resumes submitted by
search firms to any employee at FINRA without a valid written
agreement and task order in place will be deemed the sole property
of FINRA and no fee will be paid in the event that person is hired
by FINRA.FINRA is an Equal Opportunity and Affirmative Action
EmployerAll qualified applicants will receive consideration for
employment without regard to age, citizenship status, color,
disability, marital status, national origin, race, religion, sex,
sexual orientation, gender identity, veteran status or any other
classification protected by federal state or local laws as
appropriate, or upon the protected status of the person's
relatives, friends or associates.FINRA abides by the requirements
of 41 CFR 60-741.5(a). This regulation prohibits discrimination
against qualified individuals on the basis of disability, and
requires affirmative action by covered prime contractors and
subcontractors to employ and advance in employment qualified
individuals with disabilities.FINRA abides by the requirements of
41 CFR 60-300.5(a). This regulation prohibits discrimination
against qualified protected veterans, and requires affirmative
action by covered prime contractors and subcontractors to employ
and advance in employment qualified protected veterans.--2020
FINRA. All rights reserved. FINRA is a registered trademark of the
Financial Industry Regulatory Authority, Inc. FINRA is an
independent, non-governmental regulator for all securities firms
doing business with the public in the United States. FINRA works to
protect investors and maintain market integrity in a public-private
partnership with the Securities and Exchange Commission (SEC),
while also benefiting from the SEC's oversight. In its role as
investor guardian, FINRA is informed, but not influenced, by the
industry that it regulates. FINRA's independent regulation plays a
critical role in America's financial system-all at no cost to
taxpayers. FINRA touches virtually every aspect of the securities
business-from registering and educating industry participants to
examining securities firms; writing rules; enforcing those rules
and the federal securities laws; informing and educating the
investing public; providing trade reporting and other industry
utilities; and administering the largest dispute resolution forum
for investors and registered firms. FINRA uses technology powerful
enough to look across markets and detect potential abuses. Using a
variety of data gathering techniques, we work to detect insider
trading and any strategies firms or individuals use to gain an
unfair advantage. In today's fast-paced and complex global economy,
FINRA is a trusted advocate for investors, dedicated to keeping the
markets fair and proactively addressing emerging regulatory issues
before they harm investors or the markets. FINRA operates from
Washington, DC, and New York, NY, with other offices around the
country. Find out more about us and how we work-and view our
current openings-at www.finra.org/careers.
Keywords: Financial Industry Regulatory Authority, Inc., Denver , Principal Counsel, Enforcement, Legal , Denver, Colorado
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