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Principal Counsel, Enforcement

The Principal Counsel works under minimal supervision to independently resolve non-complex Enforcement matters, and to contribute substantive high quality work for large complex matters.

Essential Job Functions:


* Resolve all types of Enforcement matters based on objective and complete assessment of the facts and law, including independently resolving non-complex matters.
+ Determine and execute an effective risk-based legal strategy to complete and 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;
+ Accurately and succinctly discuss any factual issue and advocate for FINRA’s position in meetings with respondents and other stakeholders;
+ Effectively negotiate settlements, demonstrating knowledge of the record, familiarity with the law and potential defenses, and sensitivity to potential risks;
+ Play a leading role determining effective litigation strategy, and conduct non-complex witness examinations in litigation with minimal direction;
+ Draft clear and organized analysis, and effective advocacy documents;
+ Plan and conduct/oversee OTRs, independently demonstrating technical ability to develop a complete and defensible transcript, and substantive ability to elicit legally relevant information.



* Achieve Enforcement outcomes that are foreseeable and transparent, including independently resolving non-complex matters.
+ Research and identify the legal requirements for charges;
+ Identify and assess relevant Principal Considerations;
+ Recommend charges and sanctions consistent with FINRA’s priorities and principles;
+ Identify and escalate issues where rule and guidance are ambiguous or silent;
+ Identify potential regulatory duplication or inconsistencies, and contribute to communications with other regulators to resolve;
+ Contribute to collaborations with other FINRA departments regarding interpretive or policy issues;
+ Clearly explain legal reasoning in meetings with respondents and other stakeholders
+ Draft and finalize settlement documents that require only minor revisions by managers and that clearly describe the facts, the basis for FINRA charges, and the Principal Considerations that support the sanction.



* Resolve all types of Enforcement matters timely, including independently resolving non-complex matters.


* Prioritize matters based on risk;


* Establish timelines and meet them, including directing the work of other team members to progress the case in a timely fashion;


* Actively monitor and advise in investigations to ensure they are focused and targeted, and identify necessary inquiries in real time;


* Identify and escalate matters...




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