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Regional Chief Counsel, Enforcement - New York, NY at FINRA

Posted in Police/Fire/Emergency 30+ days ago.

This job brought to you by eQuest

Type: Full-Time
Location: New York, New York

Job Description:

We Work to Protect Investors. Join our Team.


The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Regional Chief Counsel opening in New York, NY. To be considered for this position, please submit your resume through our career site at – no phone calls, please.


Job Summary:
direction and guidance on matters being investigated by regional attorneys and
investigators in designated offices and the processing and litigation of formal

Essential Job Functions:

  • Manage
    and supervise the regional attorneys in multiple district offices and provide
    substantive direction to them in the course of their investigative work and

  • Review all enforcement recommendations for sufficiency of the evidence,
    evaluate all proposed legal theories in support of the charges, review and
    provide guidance on Investigative Memoranda. 

  • Recommend the institution of disciplinary charges, review Formal Complaints,
    Default Motions and other pleadings and participate in selected higher profile
    settlement discussions.

  • Prioritize the workload of the regional attorneys, ensuring that anticipated
    actions are completed in a timely manner.

  • Oversee the management of Regional Teams of Directors and investigators to
    ensure timely and quality investigations and legal actions for all matters.

  • Act as the direct liaison with referral sources such as Member Regulation,
    Market Regulation, Advertising, Corporate Finance, Dispute Resolution, the SEC
    and other referral sources. In addition, act as the primary liaison to the
    Office of Disciplinary Affairs regarding review and approval of settlements and
    Formal Complaints within the scope of the regional attorneys.

  • Advise more senior level department management regarding the full range of
    investigative and legal issues impacting the Enforcement program. Take a
    leadership role in resolving complex, difficult or large matters involving
    important, sensitive, or novel issues including evaluating the legal theories
    in support of charges primarily regarding “cutting edge” cases where there is a
    lack of precedent.

  • Evaluate the regional attorneys’ performance for merit and incentive
    compensation purposes.

  • Keep apprised of important legal, policy and regulatory developments and
    communicate those to the regional attorneys.

  • Serve as a key source of legal expertise within FINRA on enforcement-related

  • Conduct and participate in special projects and press contacts as

  • Participate in managing the Department by conducting Center meetings,
    participating in and contributing to senior staff meetings, overseeing legal
    contribution to the Department’s training program.

Education/Experience Requirements:

  • Top
    academic credentials, law degree and at least 10 years of experience in
    investigating and/or litigating securities or related cases in federal courts
    and/or administrative forums. 

  • Thorough knowledge of the federal securities
    laws, FINRA rules, and procedural and evidentiary issues. 

  • Excellent written
    communication and interpersonal skills. Prior management experience is a plus.

Working Conditions:

  • Work is normally performed in an office environment and outside of normal business hours; 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 completing 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 beginning employment.

As 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.


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 touches virtually every aspect of the securities business—from registering and educating industry participants 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. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage.

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 operates from Washington, DC, and New York, NY, with other 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 federal 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.

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