Determine and execute an effective risk-based legal strategy to assess the record fairly
Collaborate with investigative staff to plan investigations and fully develop the record
Research and identify the legal requirements for charges
Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case
Play a leading role in advancing settlement discussions with respondents
Play a leading role in conducting litigation preparation and contributing substantively to litigation
Draft clear and organized analysis, and effective advocacy documents
Plan for and conduct effective on-the-record testimony of witnesses
Draft precise and transparent settlement documents
Leverage data analytics and technology to advance investigations
Collaborate effectively with other Enforcement attorneys
Prioritize matters based on risk
Collaborate effectively with managers and incorporate feedback into planning and execution

A law degree and appropriately licensed to practice law in all applicable jurisdictions
A minimum of seven years relevant legal experience in the financial regulatory space, or related areas
Knowledge of securities laws and FINRA rules preferred
Excellent oral and written communication and litigation skills
Excellent interpersonal skills

Principal Counsel – Enforcement

Key skills