Friday, February 21, 2014

Enforcement Counsel - Rockville, MD occupation at Financial Industry Regulatory Authority Inc in Rockville

Financial Industry Regulatory Authority Inc is looking of Enforcement Counsel - Rockville, MD on Fri, 21 Feb 2014 18:08:16 GMT. the FINRA in disciplinary hearings as its staff attorney, including marshaling, organizing and presenting... respondents and their attorneys and review or prepare...

Enforcement Counsel - Rockville, MD

Location: Rockville Maryland

Description: Financial Industry Regulatory Authority Inc is looking of Enforcement Counsel - Rockville, MD right now, this occupation will be placed in Maryland. More complete informations about this occupation opportunity please read the description below. We Work to Protect Investors. Join our Team.

FINRA is seeking a well qualified individual for our Enforcement Counsel opening in Rockville, MD . To be considered for this position, please submit your resume through our career site at no phone calls, please.

Job Summary:
The Counsel performs a variety of specific duties depending on the section to which assigned, generally including applying advanced analytical skills to provide legal interpr! etations regarding laws, rules, and regulations; draw up legal! documents; and represent the organization in hearings and settlements. This is senior-level professional work, in which incumbents are defining their assigned roles, increasing their skills, and working under general guidance.

Essential Job Functions:
Plan for, participate in and demonstrate increased mastery of various tasks related to complex investigations pertaining to sales practice and trading violations by member firms and associated persons including the gathering of documentation evidence and the analysis thereof.

Participate in on-the-record interviews of witnesses and potential respondents, often in a first-chair capacity.

Demonstrate increased proficiency in drafting memoranda summarizing investigative results, analyzing applicable law and reviewing evidence to determine legal sufficiency with respect to suspected violations.

Draft and finalize, with increased independence, complaints and other legal documents incl! uding motions, responses thereto and similar documents.

Participate in the preparation of hearing exhibits to ensure that exhibits are persuasive and sufficient to support all allegations in the complaint.

Provide guidance, represent in a first-chair capacity, or assist in representing the FINRA in disciplinary hearings as its staff attorney, including marshaling, organizing and presenting documentary and testimonial evidence, cross-examining witnesses, and providing opening and closing arguments.

Evidence increased ability to conduct settlement and related discussions with respondents and their attorneys and review or prepare Offers of Settlement.

Assist in legal research and the drafting of any appellate briefs and argue appeals, as needed.

Provide interpretative advice to the department staff as to the federal securities laws, relevant rules and regulations thereunder, FINRA's rules, MSRB Rules, and FINRA's Code of Procedure. !

Help devise and assist in conducting training of department in! vestigators and junior attorneys and participate as needed in FINRA staff and external training programs.

Participate in special projects as assigned.

Communicate, when appropriate, with SEC staff and members of other state and federal regulatory organizations.

Mentor more junior attorneys and investigators.

Participate in national initiatives and special projects.

Education/Experience Requirements:
Law degree and admission to the bar of the highest court of the State of New York or other state.

A minimum of five years relevant legal experience in a regulatory or legal environment with current working knowledge of the federal securities laws, particularly the Securities Exchange Act of 1934.

Excellent oral and written communication and litigation skills.

Excellent interpersonal skills.

Experience with law enforcement or regulatory organization is a plus.

Working Condition! s:
Work is normally performed in an office environment, with extended hours, when necessary.

The Enforcement Department is a professional environment in which quality legal work is expected.

Work outside of business hours and overnight travel may be required.

To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

Please note: 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.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for comple! ting the application process, please contact FINRA's accommodation help! line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.

In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

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 beg! inning employment.

As standard practice, employees must also e! xecute FINRA's Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company's policy on nepotism.


The Financial Industry Regulatory Authority (FINRA) is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. 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. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA's independent regulation plays a critical role in America's financial system-all at no cost to taxpayers.

FINRA's independent regulation plays a critical role in America's financial system and touches virtually every aspect of the securities business-from registering and educating industry participant! s to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms.

All told, FINRA oversees more than 4,100 brokerage firms, more than 160,000 branch offices and almost 636,000 registered securities representatives. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE MKT, The NASDAQ Stock Market and the EDGA and EDGX Exchanges.

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.

FINRA has approximately 3,400 employees and operates from Washington, DC, and New York, ! NY, with 20 regional offices around the country.

Find out more! about us and how we work-and view our current openings-at .

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by fed! eral state or local laws as appropriate, or upon the protected status of the person's relatives, friends or associates.

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.

FINRA abides by the requirements of 41 CFR 60-300.5(a) . 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.

©2014 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
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If you were eligible to this occupation, please email us your resume, with salary requirements and a resume t! o Financial Industry Regulatory Authority Inc.

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This occupation starts available on: Fri, 21 Feb 2014 18:08:16 GMT

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