Counsel, Enforcement

Overview

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
• Identify and escalate matters or issues that require re-prioritization
• Avoid unnecessary research or investigative steps
• Successfully collaborate with investigative staff to produce a sound factual record in non-complex matters
• Partner with investigative staff to plan investigation and fully develop the record
• Provide relevant and accurate legal advice to investigative and legal staff
• Work effectively with investigative staff to ensure that written descriptions are supported by the record, accurate and clear
• Identify and escalate gaps in the investigative record
• 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
• Complete assignments in an efficient manner; leverage existing relevant precedents, such as work product in similar cases, where possible
• 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
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity