Deputy Regional Chief Counsel - Enforcement - Chicago, IL

Deputy Regional Chief Counsel - Enforcement - Chicago, IL

Title: Deputy Regional Chief Counsel - Enforcement - Chicago, IL
Location: null
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FINRA is seeking a well qualified individual for our Deputy Regional Chief Counsel opening inChicago, be considered for this position, please submit your resume through our careers site-no phone calls, please.

Job Summary:
The Deputy Regional Chief Counsel in the Department of Enforcement is responsible for sharing supervision of the region with the Regional Chief Counsel, providing expert guidance related to securities regulation and enforcement, and executing major delegated managerial duties with a high level of independence.

Essential Job Functions:

Position entails duties in the two following areas:

Docket Management: Direct and manage the screening, intake, and assignment of cases; oversee the investigative caseload of the Regional Response Team; manage own caseload; provide expert counsel at the periodic case review meetings held with the Regional Chief Counsel, supervise attorneys and the attorneys assigned to matters; provide guidance to attorneys on procedural and substantive issues related to their cases and to their counseling assignments; edit and approve attorneys' memoranda to the Office of Disciplinary Affairs requesting acceptance of offers Acceptance, Waiver, and Consent and authorization to file Formal Complaints; provide guidance to attorneys on procedural and substantive issues related to their cases and to their counseling assignments.

Litigation: Direct and manage attorneys in the handling of large or complex cases in enforcement proceedings; serve as co-counsel with attorneys to help train them in litigating cases; share responsibility with Regional Chief Counsel for the referral of matters to and management of relations with outside agencies.

Both areas include the following tasks:
* Advise the Regional Chief Counsel with respect to major or sensitive cases and the management of the office.
* Take leadership responsibility for the management of the docket and the litigation of major cases.
* Work with the Regional Chief Counsel in fostering constructive relations with Member Regulation, other offices of DOE, and other FINRA departments.
* Provide guidance to, and act as a resource for, the attorneys in their handling of cases and their counseling of Member Regulation District staff.
* Attend and speak at District and Department of Enforcement conferences.
* Lead and coordinate the efforts of attorneys in the completion of special projects.
* Contribute to the national enforcement program through serving on committees, participating in training, and sharing responsibility for special projects.
* Lead office's training efforts for Member Regulation's District staff.
Other Responsibilities:
* Train and mentor junior attorneys.
* Provide leadership in the continued improvement of procedures concerning the office's services to Member Regulation and its handling of cases.

Education/Experience Requirements:
* Law degree from an accredited law school and admission to a bar
* A minimum of fifteen years of relevant legal experience in the securities industry.
* Prior experience managing attorneys is preferred.
Working Conditions:
Standard office conditions.

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.
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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.

Please note: FINRA'sCode of Conductimposes restrictions on employees' investments and requires financial disclosures that are uniquely related to our role as a securities regulator. As standard practice, employees must also complete FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.

About FINRA

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,700 brokerage firms, about 167,000 branch offices and approximately 633,000 registered securities representatives.

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. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.

FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.

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.

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