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Job Details

Counsel Market Regulation Enforcement

Company name

4 yrs required

Rockville, MD, United States

Employment Type


Posted on
Apr 21, 2020

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The Enforcement Counsel resolves non-complex Enforcement matters, and contributes meaningful high quality work for 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 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.

Education/Experience Requirements:

  • 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.

Company info


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