Counsel, Enforcement

FINRA; Los Angeles (CA); Hybrid; USD 131,000 - 196,000; Full time

Benefits offered by this job

Health, dental & vision insurance

401(k) with company match

Tuition reimbursement

Commuter benefits

Generous paid time off and holidays

Job summary

FINRA in Los Angeles seeks an Enforcement Counsel to resolve non-complex Enforcement matters, shape risk-based legal strategies, and negotiate settlements. The role involves preparing for litigation, conducting non-complex witness examinations, and collaborating with investigative staff to develop a sound factual record.

Requires a law degree and six years of regulatory legal experience. The position offers hybrid work arrangements with a salary range disclosed by location and comprehensive

Qualifications

• A law degree and licensed to practice law in applicable jurisdictions.
• Six years of relevant legal experience in a regulatory or legal environment.
• Excellent oral and written communication and litigation skills.
• Excellent interpersonal skills.
• FINRA SIE certification or acceptable industry equivalent required upon hire or within 16 months of start date.

Responsibilities

• Resolve non-complex Enforcement matters based on rigorous assessment and advocacy.
• Develop risk-based legal strategies to assess records fairly.
• Draft clear, well-reasoned settlement and charging documents.
• Identify and address relevant Principal Considerations and defenses.
• Prepare cases for litigation and conduct non-complex witness examinations in non-complex matters.
• Collaborate with investigative staff to develop the factual record and ensure coherence.
• Explain legal reasoning in meetings with respondents and stakeholders.
• Keep management informed and manage timelines and tasks effectively.

Skills

Legal strategy

Settlement negotiations

Litigation support

Oral advocacy

Witness examinations

Record assessment

Investigations coordination

Education

J.D. or equivalent

Job description

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 elevate 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 elevate 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 elevate 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

• Demonstration of FINRA’s values.

• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Education/Experience Requirements:

• A law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements.
• A minimum of six years relevant legal experience in a regulatory or legal environment.
• Excellent oral and written communication and litigation skills.
• Excellent interpersonal skills.
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

Work Conditions:

• Hybrid work environment, with defined in-person presence requirements.
• Work outside of business hours and overnight travel may be required.

For work that is performed in Los Angeles and San Francisco, CA, CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations.

Los Angeles, CA: $130,688 - $196,032

San Francisco, CA: $137,222 - $205,834

Boston, MA: $112,300 - $202,500

Chicago, IL: $107,500 - $194,100

Denver, CO: $97,700 - $176,100

Jericho, NY: $112,300 - $202,500

Jersey City, NJ: $117,200 - $211,400

Philadelphia, PA: $107,500 - $194,100

New York, NY: $117,200 - $211,400

Rockville, MD: $112,300 - $202,500

Tysons, VA: $112,300 - $202,500

Washington, DC: $112,300 - $202,500

Woodbridge, NJ: $112,300 - $202,500

Connecticut State: $97,700- $211,400

Washington State: $97,700- $211,400

#LI-Hybrid

• Employees may be eligible for a discretionary bonus in addition to base pay.
• Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law.
• As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance.
• Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.
• FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program starting at 15 days of paid time off (increasing with years of service, up to 25 days), 5 personal days, and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

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.

You can read more about these restrictions here.

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.

Washington state applicants:

click here for required notice(s).

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 Employer

All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.

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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.

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