We Work to Protect Investors. Join our Team.
FINRA is seeking a well qualified individual for our
. To be considered for this position, please submit your resume through our careers site-no phone calls, please.
The Counsel performs a variety of specific duties, generally including applying advanced analytical skills to provide legal interpretations regarding laws, rules, and regulations; drawing up legal documents; and representing the organization in hearings and settlements. Assigned to handle intermediate to complex investigations from initiation through recommendation on disposition. This is senior-level professional work in which incumbents are defining their assigned roles, increasing their skills, and working under general guidance.
Essential Job Functions:
Plan for, participate in and demonstrate increased mastery of various tasks related to complex investigations pertaining to sales practice and trading violations by member firms and associated persons including the gathering of documentation evidence and the analysis thereof.
There is some travel required by this position.
Participate in on-the-record interviews of witnesses and potential respondents, often in a first-chair capacity.
Demonstrate increased proficiency in drafting memoranda summarizing investigative results, analyzing applicable law and reviewing evidence to determine legal sufficiency with respect to suspected violations.
Take primary responsibility for settlement negotiations with the Enforcement Director and Chief Counsel and draft AWCs or other pre-complaint settlement papers or informal actions.
Draft and finalize, with increased independence, complaints and other legal documents including motions, responses thereto and similar documents.
Participate in the preparation of hearing exhibits to ensure that exhibits are persuasive and sufficient to support all allegations in the complaint.
Provide guidance, represent in a first-chair capacity, or assist in representing the FINRA in disciplinary hearings as its staff attorney, including marshaling, organizing and presenting documentary and testimonial evidence, cross-examining witnesses, and providing opening and closing arguments.
Evidence increased ability to conduct settlement and related discussions with respondents and their attorneys and review or prepare Offers of Settlement.
Assist in legal research and the drafting of any appellate briefs and argue appeals, as needed.
Provide interpretative advice to the department staff as to the federal securities laws, relevant rules and regulations thereunder, FINRA's rules, MSRB Rules, and FINRA's Code of Procedure.
Help devise and assist in conducting training of department investigators and junior attorneys and participate as needed in FINRA staff and external training programs.
Participate in special projects as assigned.
Communicate, when appropriate, with SEC staff and members of other state and federal regulatory organizations.
Mentor more junior attorneys and investigators.
Participate in national initiatives and special projects.
Law degree and admission to the bar of the highest court of the District of Columbia or state.
A minimum of five years relevant legal experience in a regulatory or legal environment with current working knowledge of the federal securities laws, particularly the Securities Exchange Act of 1934.
Excellent oral and written communication and litigation skills.
Excellent interpersonal skills.
Experience with law enforcement or regulatory organization is a plus.
Work is normally performed in an office environment, with extended hours, when necessary.
The Enforcement Department is a professional environment in which quality legal work is expected.
Work outside of business hours and overnight travel may be required.
The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
Please note: If the "Apply Now" button on a job board posting does not take you directly to the FINRA Careers site, enter
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FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's accommodation help line at (240) 386-4865. Please note that this number is exclusively for inquiries regarding application accommodations.
In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.
Please note: 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. As standard practice, employees must also complete FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.
The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.
FINRA's independent regulation plays a critical role in America's financial system and touches virtually every aspect of the securities business-from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.
FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.
In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.
Find out more about us and how we work-and view our current openings-at
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 and Affirmative Action Employer
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