The Enforcement Principal 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.
Principal Counsel, Enforcement
The Enforcement Principal Counsel performs rigorous assessment and effective advocacy in Enforcement matters. Collaborate effectively with other Enforcement attorneys, including as a leading member of teams handling complex matters. ...
LITIGATION ASSOCIATE ATTORNEY $120,000 Plus Commission
LITIGATION ASSOCIATE ATTORNEY $120,000 Plus Commission with Sign-On Bonus (Up to $25,000 for qualified applicants). LITIGATION ASSOCIATE ATTORNEY salary $120,000 plus guaranteed commission after achieving performance goal. Top Texas Law Firm is currently hiring highly motivated Litigation Associate ...
Associate Attorney
Modern Family Law is seeking an Attorney who is energetic, and experienced in Family Law, to step into a growing company and help us develop our Associate Attorneys. Partner with the Managing Attorney in the training and development of Associate Attorneys. Ability to mentor and train Associate Attor...
Associate Attorney – Toxic Tort
Dean Omar Branham Shirley, LLP, a nationally recognized plaintiffs’ side firm, seeks a seasoned attorney to manage and work up a docket of toxic tort products liability action. ...
Senior Associate Attorney
Senior associate sought for busy and growing construction section of a central Houston full-service law firm. ...
Attorney - Insurance Defense Associate - San Diego - Hybrid Remote
Our client, a national litigation firm, is seeking a General Liability Attorney to join their downtown San Diego team. ...
Attorney - Public Finance (46628).
Our client, a busy and rapidly growing law firm, specializing in real estate development and public finance practice, is actively seeking an Associate Attorney to join their dynamic team in Dallas, Texas. ...
Environmental Regulatory Attorney
Gibson Arnold & Associates is seeking an attorney with 10+ years of experience to join the in-house legal team of a subsidiary of an international oil and gas exploration and production company. ...
Patent/IP Litigation Associate/Attorney
Thus firm is currently seeking an entry level associate as well as an associate with 3+ years of experience in patent and intellectual property litigation. Communicate effectively with clients, attorneys, experts, and other professionals involved in the case. ...
Labor & Employment Associate Attorney
The Dallas office of Lewis Brisbois, a full-service AmLaw 100 firm, is actively seeking an attorney to join its Labor & Employment Practice. This is an excellent opportunity for attorneys who are proactive and passionate about assuming a high-level role providing legal service within a sophisticated...