Counsel, Enforcement

Enforcement Counsel The Enforcement Counsel resolves non‑complex enforcement matters and contributes high quality work on large complex matters.Essential Job Functions 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 assessing evidence and applying a well‑reasoned legal framework.Identify potential risks, defenses, and principal considerations.Effectively negotiate settlements, demonstrating knowledge of the record and relevant law.Contribute meaningfully to settlement negotiations and internal discussions regarding legal strategy.Assist in litigation preparation and conduct non‑complex witness examinations.Draft clear and organized analysis and advocacy documents.Plan for and conduct OTRs of witnesses to develop effective transcripts.Achieve foreseeable and transparent enforcement outcomes in non‑complex matters.Recommend charges and sanctions consistent with FINRA priorities and principles.Draft and finalize settlement documents that describe facts, basis for charges, and principal considerations supporting the sanction.Research and identify legal requirements for charges.Escalate issues where rules and guidance are ambiguous or silent.Explain legal reasoning regarding non‑complex matters or issues in meetings with respondents or stakeholders.Resolve matters timely and actively monitor investigations to stay focused.Prepare cases for litigation for prompt filing, efficient document production, and timely hearing.Manage time effectively to meet deadlines and provide work product on time.Prioritize matters based on risk and establish timelines to achieve them.Collaborate with investigative staff to produce a sound factual record.Provide relevant and accurate legal advice to investigative and legal staff.Ensure written descriptions are supported by the record.Objectively review and summarize sufficiency of evidence to establish a charge.Demonstrate ability to resolve matters with supervision and provide high‑quality work in team‑based matters.Communicate effectively with team members about factual and legal issues.Assist in litigation preparation by preparing exhibits, drafting witness outlines, and participating in strategy discussions.Contribute to the values of collaboration and FINRA's mission.Qualifications Laws degree and appropriately licensed to practice law in all applicable jurisdictions based on licensing requirements.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 Hybrid work environment with defined in‑person presence requirements.Work outside of business hours and overnight travel may be required.Locations: Los Angeles, San Francisco, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY, NJ.Salary & Location Los Angeles, CA: $130,688 - $196,032San Francisco, CA: $137,222 - $205,834CO/FL/TX: $97,700 - $176,100IL/PA: $107,500 - $194,100MA/MD/VA/Washington, DC: $112,300 - $202,500NY/NJ: $112,300 - $211,400Equal Opportunity Employer FINRA is an Equal Opportunity Employer. All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status protected by state or local law.#J-18808-Ljbffr

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