Counsel, Enforcement

Financial Industry Regulatory Authority

Jericho, NY

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 advocacyExecute 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 defensesContribute meaningfully to internal discussions regarding legal strategy, demonstrating an understanding of the factual record and legal framework;Assist in litigation... More Detail

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