Counsel Enforcement

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Counsel, Enforcement
The candidate will be responsible for: 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 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; Effectively negotiate settlements, demonstrating knowledge of the record, and familiarity with the law and potential defenses; Contribute meaningfully to settlement negotiations and discussions with respondents, demonstrating knowledge of the record and familiarity with the law and potential defenses; Contribute meaningfully to internal discussions regarding legal strategy, demonstrating an understanding of the factual record and legal framework; Assist in litigation preparation and contribute meaningfully to litigation, including by conducting non-complex witness examinations in non-complex litigation; Draft clear and organized analysis, and effective advocacy documents; Plan for and conduct OTRs of witnesses, demonstrating ability to develop an effective transcript through active listening, follow-up, and knowledge of the record. Achieve Enforcement outcomes that are foreseeable and transparent in non-complex matters. Identify and assess relevant Principal Considerations; Recommend charges and sanctions consistent with FINRA’s priorities and principles; Draft and finalize settlement documents that clearly describe the facts, the basis for FINRA charges, and the Principal Considerations that support the sanction; Research and identify the legal requirements for charges; Identify and escalate issues where rules and guidance are ambiguous or silent; Contribute to discussions with other departments regarding interpretive or policy issues; Explain legal reasoning regarding non-complex matters or issues in meetings with respondents or other stakeholders; Resolve non-complex Enforcement matters timely. Actively monitor and advise in investigations to ensure they are focused and targeted, and identify necessary inquiries in real time; Prepare cases for litigation to facilitate prompt filing, efficient document production, and a timely hearing. Manage time effectively to independently meet deadlines and provide work product in a timely manner; Demonstrate effective oral advocacy during negotiations and discussions, facilitating efficient progress of a matter. Prioritize matters based on risk; Establish timelines and manage teamwork and tasks to achieve them; Produce timely and complete written work product. Identify and escalate matters or issues that require re-prioritization; Avoid unnecessary research or investigative steps; Successfully collaborate with investigative staff to produce a sound factual record in non-complex matters. Partner with investigative staff to plan investigation and fully develop the record; Provide relevant and accurate legal advice to investigative and legal staff; Work effectively with investigative staff to ensure that written descriptions are supported by the record, accurate and clear; Identify and escalate gaps in the investigative record; Objectively review and clearly summarize sufficiency of evidence to establish a charge; Demonstrate ability to resolve non-complex matters with supervision, and provide high quality work in team-based matters; Keep managers informed and incorporate feedback into planning and execution; Complete assignments in an efficient manner; leverage existing relevant precedents, such as work product in similar cases, where possible; Effectively communicate with other team members about non-complex factual and legal issues for analysis; Assist in litigation preparation by preparing exhibits, drafting witness outlines, and participating in strategy discussions; Conduct non-complex witness examinations in litigation. Must have Law degree and admission to the bar. Should have 4+ years relevant legal experience in a regulatory or legal environment. Must have excellent oral and written communication and litigation skills.

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