{"id":3474334,"url":"https://alion.io/job/finra-counsel-enforcement","title":"Counsel, Enforcement","company":{"id":1753478,"name":"Finra","domain":"finra.org","url":"https://alion.io/company/finra","size_band":"1001-5000","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"Workday","truth_index":null},"role":"Legal","role_family":"Legal","seniority":"senior","employment_type":"full_time","work_mode":"hybrid","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":["Denver, United States","Chicago, United States","Boston, United States","Boca Raton, United States","Plano, United States","Tysons, United States","Jersey City, United States","Washington, United States","Philadelphia, United States","New York, United States","Los Angeles, United States","United States"],"countries":["US"],"hiring_countries":[],"hiring_countries_total":0,"salary":{"min":130688,"max":196032,"currency":"USD","period":"year","gross":null,"usd_annual":196032},"salary_estimate":null,"experience_years_min":6,"visa_sponsorship":false,"relocation_package":false,"has_equity":false,"technologies":[],"status":"live","first_seen_at":"2026-10-29T18:19:59Z","employer_posted_date":"2026-10-29","last_verified_at":"2026-10-30T12:08:09Z","board_verified":true,"closed_at":null,"days_open":1,"trust":{"level":"ok","repost_count":null,"flags":[],"days_open":1},"description":"The Enforcement Counsel resolves non-complex Enforcement matters, and contributes meaningful high quality work for large complex matters.Essential Job Functions:\nResolve non-complex Enforcement matters based on rigorous assessment and effective advocacyExecute an effective risk-based legal strategy to assess the record fairly;\nRecommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case;\nIdentify potential risks, defenses, individual liability and Principal Considerations;\nEffectively negotiate settlements, demonstrating knowledge of the record, and familiarity with the law and potential defenses;\nContribute meaningfully to settlement negotiations and discussions with respondents, demonstrating knowledge of the record and familiarity with the law and potential defenses\nContribute meaningfully to internal discussions regarding legal strategy, demonstrating an understanding of the factual record and legal framework;\nAssist in litigation preparation and contribute meaningfully to litigation, including by conducting non-complex witness examinations in non-complex litigation\nDraft clear and organized analysis, and effective advocacy documents;\nPlan for and conduct OTRs of witnesses, demonstrating ability to develop an effective transcript through active listening, follow-up, and knowledge of the record\n\nAchieve Enforcement outcomes that are foreseeable and transparent in non-complex matters.\nIdentify and assess relevant Principal Considerations;\nRecommend charges and sanctions consistent with FINRA’s priorities and principles;\nDraft and finalize settlement documents that clearly describe the facts, the basis for FINRA charges, and the Principal Considerations that support the sanction\nResearch and identify the legal requirements for charges;\nIdentify and escalate issues where rules and guidance are ambiguous or silent;\nContribute to discussions with other departments regarding interpretive or policy issues;\nExplain legal reasoning regarding non-complex matters or issues in meetings with respondents or other stakeholders;\nResolve non-complex Enforcement matters timely.\nActively monitor and advise in investigations to ensure they are focused and targeted, and identify necessary inquiries in real time;\nPrepare cases for litigation to facilitate prompt filing, efficient document production, and a timely hearing\nManage time effectively to independently meet deadlines and provide work product in a timely manner;\nDemonstrate effective oral advocacy during negotiations and discussions, facilitating efficient progress of a matter\nPrioritize matters based on risk;\nEstablish timelines and manage teamwork and tasks to achieve them;\nProduce timely and complete written work product\nIdentify and escalate matters or issues that require re-prioritization;\nAvoid unnecessary research or investigative steps\nSuccessfully collaborate with investigative staff to produce a sound factual record in non-complex matters.\nPartner with investigative staff to plan investigation and fully develop the record;\nProvide relevant and accurate legal advice to investigative and legal staff ;\nWork effectively with investigative staff to ensure that written descriptions are supported by the record, accurate and clear;\nIdentify and escalate gaps in the investigative record;\nObjectively review and clearly summarize sufficiency of evidence to establish a charge\nDemonstrate ability to resolve non-complex matters with supervision, and provide high quality work in team-based matters\nKeep managers informed and incorporate feedback into planning and execution;\nComplete assignments in an efficient manner; leverage existing relevant precedents, such as work product in similar cases, where possible;\nEffectively communicate with other team members about non-complex factual and legal issues for analysis;\nAssist in litigation preparation by preparing exhibits, drafting witness outlines, and participating in strategy discussions\nConduct non-complex witness examinations in litigation\nDemonstration of FINRA’s values.\nCollaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.\nEducation/Experience Requirements:\nA law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements. \nA minimum of six years relevant legal experience in a regulatory or legal environment. \nExcellent oral and written communication and litigation skills. \nExcellent interpersonal skills. \nFINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.\nWork Conditions:\nHybrid work environment, with defined in-person presence requirements. \nWork outside of business hours and overnight travel may be required.\nFor work that is performed in Los Angeles and San Francisco, CA, CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations.\nLos Angeles, CA: $130,688 - $196,032\nSan Francisco, CA: $137,222 - $205,834\nBoston, MA: $112,300 - $202,500\nChicago, IL: $107,500 - $194,100\nDenver, CO: $97,700 - $176,100\nJericho, NY: $112,300 - $202,500\nJersey City, NJ: $117,200 - $211,400\nPhiladelphia, PA: $107,500 - $194,100\nNew York, NY: $117,200 - $211,400\nRockville, MD: $112,300 - $202,500\nTysons, VA: $112,300 - $202,500\nWashington, DC: $112,300 - $202,500\nWoodbridge, NJ: $112,300 - $202,500\nConnecticut State: $97,700- $211,400\nWashington State: $97,700- $211,400\nTo be considered for this position, please submit an application. Applications are accepted on an ongoing basis.\nThe 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.\nPlease note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.\nEmployees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes 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. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.\nTime Off and Paid Leave*\nFINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program starting at 15 days of paid time off (increasing with years of service, up to 25 days), 5 personal days, and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes 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); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.\n*Based on full-time schedule\nImportant Information\nFINRA’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 beginning employment.\nYou can read more about these restrictions here.\nAs standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.\nWashington state applicants:click here for required notice(s).\nSearch Firm Representatives\nPlease 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.\nFINRA is an Equal Opportunity Employer\nAll qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.\nFINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s Employee Relations team at 240-386-4865 or by email at . Please note that this process is exclusively for inquiries regarding accommodations in the application process.\nFINRA 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.\nFINRA 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.\n©2026 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.","description_format":"text","description_chars":11942,"description_truncated":false,"requirements":{"experience_years_min":6,"management_years_min":null,"team_size_min":null,"manages_managers":false,"education":null,"security_clearance":false,"languages":[]},"benefits":["Hybrid work","Parental leave","Vision insurance","Wellness"],"hiring_locations":[{"name":"United States","iso":"US","kind":"country"}],"hiring_excludes":[],"relocation_offered":false,"industries":[],"lifecycle":[{"event":"open","at":"2026-10-29T18:19:59Z"}],"visa":[],"liveness":{"score":90,"band":"hot","label":"Hiring now","p_open":1,"p_active":0.903,"p_room":1,"age_days":0,"expected_fill_days":15,"reasons":["conf:6","velocity","win:early"],"computed_at":"2026-10-30T05:48:23Z"},"pay":{"stated_usd_annual":196032,"is_top_pay":true},"html_url":"https://alion.io/job/finra-counsel-enforcement","json_url":"https://alion.io/job/finra-counsel-enforcement.json","meta":{"generated_at":"2026-10-31T00:30:20Z","cache_seconds":300,"methodology":"https://alion.io/methodology","terms":"https://alion.io/terms","contact":"https://alion.io/contact","api":"https://alion.io/developers","about":"Alion is a live layer of people, companies and AI agents: who they are, whether they are real and active right now, what they do and how to work with them, readable by people and by agents and paid per call.","catalog":"https://alion.io/catalog.json","usage":{"tier":"crawler_verified","counted_by":"address","units_charged":1,"used_today":789,"day_limit":null,"remaining_today":null,"minute_limit":300,"resets_at":"2026-11-01T00:00:00Z"}},"offers":[{"id":"company.slices","title":"One company in depth, by slice","status":"live","price":{"credits":0.02,"usd":0.002,"plus_per_slice":{"credits":0.05,"usd":0.005}},"unit":"per company, plus each slice with data","note":"the employer in depth","call":{"mcp_tool":"get_company","arguments":{"id":1753478},"rest":"https://alion.io/mcp/rest/get_company?id=1753478"},"human":"https://alion.io/catalog?offer=company.slices&for=job%2Ffinra-counsel-enforcement"},{"id":"market.stats","title":"A market slice: pay, demand and time to fill","status":"live","price":{"credits":1,"usd":0.1},"unit":"per slice","note":"pay, demand and time to fill for this role and place","call":{"mcp_tool":"market_stats"},"human":"https://alion.io/catalog?offer=market.stats&for=job%2Ffinra-counsel-enforcement"},{"id":"job.search","title":"Open jobs by role, technology, place, pay and visa","status":"live","price":{"credits":0.02,"usd":0.002},"unit":"per posting in a list","note":"similar open postings","call":{"mcp_tool":"search_jobs"},"human":"https://alion.io/catalog?offer=job.search&for=job%2Ffinra-counsel-enforcement"},{"id":"company.verify","title":"Is this company real and active right now","status":"pilot","price":null,"unit":"per company","request":{"url":"https://alion.io/catalog/request","method":"POST","body":"{\"offer\": \"company.verify\", \"for\": \"job/finra-counsel-enforcement\", \"note\": \"what you need it for\"}"},"human":"https://alion.io/catalog?offer=company.verify&for=job%2Ffinra-counsel-enforcement"}],"agent":{"mcp":"https://alion.io/mcp/jobs","mcp_open":"https://alion.io/mcp/open","next":[{"tool":"get_job","arguments":{"id":3474334}},{"tool":"search_jobs","arguments":{"company":"finra.org","detail":"compact"}},{"tool":"match_people","arguments":{"job_id":3474334},"note":"people open to offers who fit this vacancy"}],"note":"The same data through MCP tools: https://alion.io/mcp/open needs no sign-in (compact searches, postings, people); https://alion.io/mcp with an Alion account has everything. Docs: https://alion.io/developers"}}