Counsel, Enforcement

The Enforcement Counsel resolves non-complex Enforcement matters, and contributes meaningful high quality work for large complex matters.



* 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 escalate 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


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