FINRA · 2 hours ago
Counsel, Enforcement
Jericho, NY (Job Posting)
Full-time
Hybrid
Mid, Senior Level
$110K/yr - $198K/yr
6+ years expFINRA is the Financial Industry Regulatory Authority, and they are seeking a Counsel for Enforcement matters. The role involves resolving non-complex Enforcement matters and contributing to larger complex matters through effective legal strategy and advocacy.
FinanceFinancial ServicesNon Profit
Responsibilities
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
Qualification
Required
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
Excellent interpersonal skills
Benefits
Comprehensive health, dental and vision insurance
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
Immediate participation and vesting in a 401(k) plan with company match
Eligibility for participation in an additional FINRA-funded retirement contribution
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance
Wellness programs
15 days of paid time off
5 personal days
9 sick days
Two volunteer service days
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)
Childbirth and parental leave (available after 90 days of employment)
Nine paid holidays
Company
FINRA
The Financial Industry Regulatory Authority (FINRA) is an independent regulator for securities firms doing business in the U.S. It is a sub-organization of Thrivent.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Tina Salehi Gubb
Senior Vice President
Michael Solomon
Executive Vice President of Examinations and Membership Application Program
Recent News
Investment News
2026-01-13
2026-01-06
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