Job added in hotlist
Applied job
Contract job
90-day-old-job
part-time-job
Recruiter job
Employer job
Expanded search
Apply online not available
View more jobs in Rockville, MD
View more jobs in Maryland

Job Details

Counsel Market Regulation Enforcement

Company name
FINRA.

Experience
4 yrs required

Location
Rockville, MD, United States

Employment Type
Full-Time

Industry
Legal

Posted on
May 20, 2020

Valid Through
Sep 02, 2020

Apply for this job






Profile

Counsel, Market Regulation Enforcement

The candidate will 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.

Additional Information

Ref: R-000788. Submit a cover letter, resume and a writing sample.

Company info

FINRA.
15200 Omega Drive Suite 300
Rockville
Maryland
United States 20850
Website : http://www.finra.org

Similar Jobs:
Application\nApply Now\nThe application opened in a new tab.\nBy using this feature you agree to our Terms and Conditions and Privacy Policy.\nDetails\nPosted:\nMay 12, 2020\nLocation:\nWashington, DC\nShow Map\nType:\nFull Time -...
Application\nApply Now\nThe application opened in a new tab.\nBy using this feature you agree to our Terms and Conditions and Privacy Policy.\nDetails\nPosted:\nMay 12, 2020\nLocation:\nWashington, DC\nShow Map\nType:\nFull Time -...
Attorney Adviser, SK 13-14
Location : Washington, DC
Attorney Adviser, SK 13-14 Duties: The candidate will provide expert legal analysis, advice, litigation support, and technical assistance on international matters involving federal securities regulations including enforcement inv...
The number of jobs listed on EmploymentCrossing is great. I appreciate the efforts that are taken to ensure the accuracy and validity of all jobs.
Richard S - Baltimore, MD
  • All we do is research jobs.
  • Our team of researchers, programmers, and analysts find you jobs from over 1,000 career pages and other sources
  • Our members get more interviews and jobs than people who use "public job boards"
Shoot for the moon. Even if you miss it, you will land among the stars.
EmploymentCrossing - #1 Job Aggregation and Private Job-Opening Research Service — The Most Quality Jobs Anywhere
EmploymentCrossing is the first job consolidation service in the employment industry to seek to include every job that exists in the world.
Copyright © 2020 EmploymentCrossing - All rights reserved. 168 192