Senior Counsel

Profile

Senior Counsel
The candidate will provide expert legal and policy advice to Enforcement management and staff in support of Enforcement Department objectives to foster transparency and predictability in the Department's regulatory responses. Work closely with the Counsel to the Head of Enforcement and others in Enforcement, including the senior management team, to provide subject matter expertise, lead special projects, and develop legal and policy guidance to support Enforcement's investigations, disciplinary actions, and interdepartmental efforts. Partner effectively with Enforcement staff and management to identify risk and promote disciplinary actions with charges and sanctions that that are legally sound, transparent, predictable, and consistent with Enforcement priorities and principles. Independently develop recommendations to resolve all types of Enforcement Consult Group (ECG) matters based on rigorous assessment and effective communication. Promote outcomes that are consistent with the organization's principles and priorities through a rigorous analysis of risks presented in matters under review and provide timely, expert advice to avoid identified risks. Effectively communicate policies and procedures within OCHE's purview to Enforcement staff and managers and other stakeholders. Provide Enforcement staff and managers with expert written guidance and periodic training on policy and legal issues to help educate and further Enforcement staff knowledge. Independently make recommendations that are consistent with the organization's priorities and principles. Identify and escalate novel issues or where rules and guidance are ambiguous or silent especially in situations that may have a broader impact on predictability, transparency, and policy issues in order to manage departmental risk. Lead discussions with other stakeholders regarding transparency, predictability, interpretive guidance, or policy issues. Provide leadership to special projects involving OGC, the Office of Disciplinary Affairs, and other departments. Accurately and succinctly discuss any legal or factual issue and advocate for Enforcement's position in meetings with other stakeholders. Efficiently draft clear, organized, and persuasive analysis and effective legal memoranda and policy-related documents that require minimal editing. Apply expert legal and factual analysis to assessing fact patterns and determinations concerning, for example, whether a matter is ripe for an Enforcement investigation, is subject to Enforcement's jurisdiction, or requires additional information. Provide guidance to and mentor less experienced counsel and new hires. Should have a law degree and admission to the Bar of the highest court of the District of Columbia or state. Must have 9+ years of securities-related regulatory and/or legal policy experience with 5+ of years spent working for a regulatory entity, member firm or law firm, with direct involvement in securities enforcement matters. Extensive working knowledge of relevant FINRA, SEC and SRO rules is required. Should have demonstrated a sophisticated ability to understand the impact of rules and rule changes on the Enforcement program. Extended hours will be required on a regular basis.

Company info

Sign Up Now - EmploymentCrossing.com