Principal Counsel, Enforcement

The Enforcement Principal Counsel performs rigorous assessment and effective advocacy in Enforcement matters.

• 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, including by drafting complaints and conducting witness examinations.
• 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, including as a leading member of teams handling complex matters.
• Collaborate effectively with other FINRA departments.
• Prioritize matters based on risk.
• Collaborate effectively with managers and incorporate feedback into planning and execution.

Education / Experience Requirments :

• 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.

Work Conditions :

Work outside of business hours and overnight travel may be required.

For work that is performed in CA, Washington, DC, CO, HI, MN, VT, New York, NY, WA and MD the chart below outlines the proposed salary range for the corresponding location.

In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons .

California : Minimum Salary $124,300, Maximum Salary $235,500

Washington, DC / Maryland : Minimum Salary $124,300, Maximum Salary $225,700

Colorado / Hawaii / Minnesota / Vermont : Minimum Salary $108,200, Maximum Salary $196,200

New York, NY : Minimum Salary $129,800, Maximum Salary $235,500

Washington State : Minimum Salary $108,200, Maximum Salary $225,700