Principal Counsel - Enforcement

Boston, MA
Full Time
Practice Areas: Litigation Job #: 007240 Exp.: 9+ Years
The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Principal Counsel, Enforcement opening in Boston, MA. To be considered for this position, please submit your resume through our career site at – no phone calls, please.

What’s your passion? FINRA’s is protecting investors—and stopping those who harm them. If you are interested in joining a mission-driven organization, and working with a team of highly-skilled attorneys and investigators to tackle complex legal issues, then the role of Principal Counsel might be for you. Join FINRA’s Enforcement team—and help us achieve our mission of investor protection and market integrity.

About us:
Dedication. Diversity. Integrity. At FINRA, we believe in our smart, passionate employees. And we believe in protecting America’s 90 million investors and the integrity of the markets.
We’re committed to maintaining a diverse, high-performance workplace. We do this not only by offering a competitive compensation package, but also by fostering an inclusive work environment to help each employee reach his or her full potential.

The role:
FINRA’s Enforcement Department is tasked with investigating potential securities violations and, when warranted, bringing formal disciplinary actions against firms and their associated persons. We have an exciting opportunity for an experienced attorney to fill the role of Principal Counsel. As Principal Counsel, you will hone your legal and advocacy skills by working on securities matters, all with the goal of protecting investors.

As Principal Counsel, you will:
  • Resolve all types of Enforcement matters based on objective and complete assessment of the facts and law
  • Work independently and with minimal supervision on matters involving common rule violations; take a leading role in matters that involve the highest levels of complexity, urgency or risk
  • Partner with investigative staff to fully and efficiently develop the record, including by planning and conducting on-the-record testimony
  • Conduct legal research and provide legal advice to investigative and legal staff
  • Recommend fair and effective outcomes by assessing the evidence and applying a well-reasoned legal analysis to the case
  • Draft clear and effective advocacy documents
  • Demonstrate effective oral advocacy during settlement negotiations and case discussions
  • For cases involving common rule violations, play a leading role in determining litigation strategy and preparing cases for litigation
  • Participate in litigation, including by conducting witness examinations, arguing motions, and delivering opening and closing statements

You’ll get:
  • A competitive compensation and benefits package, including eligibility to receive incentive compensation
  • Work-life balance and access to professional development training and programs
  • The opportunity to grow your career and reach your full potential
  • The opportunity to work with a group of high-performing, diverse and dedicated professionals
  • The opportunity to make a difference by protecting investors and maintaining market integrity through your work

You’ll need to have:
  • Law degree and admission to the bar.
  • A minimum of nine years of relevant legal experience in a regulatory or legal environment.
  • Excellent oral and written communication and litigation skills.
  • Excellent interpersonal skills.

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