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    Principal Counsel - Chicago, United States - finra

    finra
    finra Chicago, United States

    1 week ago

    Default job background
    Full time
    Description
    The Enforcement Counsel performs rigorous assessment and effective advocacy in Enforcement matters.
    • Determine and execute an effective risk-based legal strategy to assess the record fairly.
    • Collaborate with investigative staff to plan investigations and fully develop the record.
    • Research and identify the legal requirements for charges.
    • Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case.
    • Play a leading role in advancing settlement discussions with respondents.
    • Play a leading role in conducting litigation preparation and contributing substantively to litigation, including by drafting complaints and conducting witness examinations.
    • Draft clear and organized analysis, and effective advocacy documents.
    • Plan for and conduct effective on-the-record testimony of witnesses.
    • Draft precise and transparent settlement documents.
    • Leverage data analytics and technology to advance investigations.
    • Collaborate effectively with other Enforcement attorneys, including as a leading member of teams handling complex matters.
    • Collaborate effectively with other FINRA departments.
    • Prioritize matters based on risk.
    • Collaborate effectively with managers and incorporate feedback into planning and execution.

    Education/Experience

    • A minimum of seven years relevant legal experience in the financial regulatory space, or related areas.
    • Knowledge of securities laws and FINRA rules preferred
    • Excellent oral and written communication and litigation skills.
    • Excellent interpersonal skills.

    Work Conditions

    • Work outside of business hours and overnight travel may be required.
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