Finra

Counsel, Enforcement

Finra

Aug 4th, 2022
FINRA is dedicated to investor protection and market integrity. Our team of highly trained professionals are passionate about protecting investors and ensuring financial markets remain fair by writing and enforcing the critical rules and regulations that govern more than 3,700 firms and 630,000 brokers across the country.

With more than 3,500 employees nationwide, FINRA is committed to a diverse, high-performance workplace. We recognize that it’s the hard work, passion and dedication of our team that makes FINRA the strong, successful organization it is. That’s why we offer a competitive compensation, benefits and services package.

And at FINRA, we offer more than just a job; we provide employees with the learning and educational tools needed to enhance their knowledge, talents and abilities—whether it’s an online course to enhance productivity or a seminar to maximize leadership skills.

At FINRA, we believe your work can be your passion.
1735 K Street, NW Washington, DC 20006
http://www.finra.org
The Enforcement Counsel performs rigorous assessment and effective advocacy in Enforcement matters.

  • 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.
  • Advance settlement discussions with respondents.
  • Conduct litigation preparation and contribute meaningfully to litigation, including by conducting witness examinations.
  • Draft clear and organized analysis, and effective advocacy documents.
  • Plan for and conduct effective on-the-record testimony of witnesses
  • Draft settlement documents.
  • Collaborate effectively with other Enforcement attorneys, including within 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
  • Law degree and admission to the bar.
  • A minimum of four 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.
Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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 Information
FINRA’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.

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 Representatives
Please 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 Employer
All 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.

If you require alternative methods of application or screening, you must approach Finra directly to request this, as we're not responsible for the employer's application process.

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