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Finra: Counsel – Sales Practice Enforcement (#007682)







Location: San Francisco, CA, Los Angeles, CA, Denver, CO



We Work to Protect Investors. Join our Team. 


The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Counsel opening in San Francisco, CA, Los Angeles, CA and Denver CO. To be considered for this position, please submit your resume through our career site at www.finra.org/careers (Job #007682) – no phone calls, please.


What’s your passion? FINRA’s is protecting investors—and stopping those who harm them. If you are interested in joining a mission-driven organization, and working with a team of highly-skilled attorneys and investigators to tackle complex legal issues, then the role of Counsel might be for you. Join FINRA’s Enforcement team—and help us achieve our mission of investor protection and market integrity.


About us:

Dedication. Diversity. Integrity. At FINRA, we believe in our smart, passionate employees. And we believe in protecting America’s 90 million investors and the integrity of the markets.

We’re committed to maintaining a diverse, high-performance workplace. We do this not only by offering a competitive compensation package, but also by fostering an inclusive work environment to help each employee reach his or her full potential.


The role:

FINRA’s Enforcement Department is tasked with investigating potential securities violations and, when warranted, bringing formal disciplinary actions against firms and their associated persons. We have an exciting opportunity for an attorney to fill the role of Counsel. As Counsel, you will hone your legal and advocacy skills by working on securities matters, all with the goal of protecting investors. 


As Counsel, you will:

  • Resolve Enforcement matters involving common rule violations based on objective and complete assessment of the facts and law.
  • Meaningfully participate in and contribute high-quality work in team-based matters involving complex issues, urgency or high risk.
  • Partner with investigative staff to fully and efficiently develop the record, including by planning and conducting on-the-record testimony.
  • Conduct legal research and provide legal advice to investigative and legal staff.
  • Recommend fair and effective outcomes by assessing the evidence and applying a well-reasoned legal analysis to the case.
  • Draft clear and effective advocacy documents.
  • Demonstrate effective oral advocacy during settlement negotiations and case discussions.
  • Assist in preparing cases for litigation, and participate in litigation, including by conducting witness examinations.

You’ll get:

  • A competitive compensation and benefits package, including eligibility to receive incentive compensation.
  • Work-life balance and access to professional development training and programs.
  • The opportunity to grow your career and reach your full potential.
  • The opportunity to work with a group of high-performing, diverse and dedicated professionals.
  • The opportunity to make a difference by protecting investors and maintaining market integrity through your work.

Education/Experience Requirements:


  • Law degree and admission to the bar.
  • A minimum of four years relevant legal experience in a regulatory or legal environment.
  • Excellent oral and written communication and litigation skills.
  • Excellent interpersonal skills.


Working Conditions:


  • 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 www.finra.org/careers 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.

Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.

FINRA will consider qualified applications with criminal histories in a manner consistent with the Los Angeles Fair Chance Initiative Ordinance.



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 www.finra.org/careers.


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.



©2019 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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