Full Time Counsel

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; 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; 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; 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; Provide relevant and accurate legal advice to investigative and legal staff ; Objectively review and clearly summarize sufficiency of evidence to establish a charge Demonstrate ability to resolve non-complex matters with supervision, and provide high quality work in team-based matters Keep managers informed and incorporate feedback into planning and execution; Effectively communicate with other team members about non-complex factual and legal issues for analysis; Assist in litigation preparation by preparing exhibits, drafting witness outlines, and participating in strategy discussions Conduct non-complex witness examinations in litigation Demonstration of FINRA’s values. A law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements. A minimum of six years relevant legal experience in a regulatory or legal environment. Excellent oral and written communication and litigation skills. Work Conditions: Hybrid work environment, with defined in-person presence requirements. Work outside of business hours and overnight travel may be required. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. Los Angeles, CA: Minimum Salary $130,688, Maximum Salary $196,032 San Francisco, CA: Minimum Salary $137,222, Maximum Salary $205,834 CO/FL/TX: Minimum Salary $97,700, Maximum Salary $176,100 IL/PA: Minimum Salary $107,500, Maximum Salary $194,100 MA/MD/VA/Washington, DC: Minimum Salary $112,300 Maximum Salary $202,500 NY/NJ: Minimum Salary $112,300, Maximum Salary $211,400 #LI-Hybrid To be considered for this position, please submit an application. Applications are accepted on an ongoing basis. It is not a comprehensive inventory of all duties, responsibilities and qualifications required. If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter

into your browser to reach our site directly. Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs. Time Off and Paid Leave* FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); Full-time employees receive nine paid holidays. *Based on full-time schedule Important Information 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. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment. As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism. Search Firm Representatives Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. FINRA is an Equal Opportunity Employer All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law. 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 Employee Relations team at or by email at . Please note that this process is exclusively for inquiries regarding accommodations in the application process. FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities. This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans. ©FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Our Growth is Creating Great Opportunities! FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. FINRA’s independent regulation plays a critical role in America’s financial system-all at no cost to taxpayers. enforcing those rules and the federal securities laws; Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage. 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.