We are searching for a Senior Enforcement Attorney.
The Attorney will be responsible for managing the enforcement program. This will include managing the cases and recommendations, evaluating and editing the cases/recommendations and providing support on every aspect of the enforcement program.
Duties and Responsibilities: Performs a combination of the following duties:
o Provide advice and counsel on investigation/examination enforcement matters.
o Manage, supervise and monitor status and resolution of enforcement matters.
o Present enforcement matters and recommendations management for review and approval.
o Collaborate with cross-functional business and legal team members and outside counsel.
o Assist in the development of regulatory investigations, including, but not limited to, case strategy, rule application and participation in investigative interviews if necessary.
o Assist in conveying staff’s recommendations for formal disciplinary action.
o Responsible for researching relevant precedent where necessary to ensure recommended sanction levels are appropriate.
Knowledge, Skills and Abilities:
o Must possess excellent written and oral communication skills and strong presentation skills.
o Demonstrated ability to influence and negotiate.
o Candidates should also be self-motivated and able to complete projects working independently as well as in team settings.
o Strong understanding of civil procedures.
o Candidates should have minimum of 5 years of experience in securities litigation and enforcement
o Strong understanding of the financial services industry
o Excellent written and verbal communication skills
o Excellent drafting and negotiation skills
o Outstanding organizational skills and ability to manage multiple projects
o Previous employment at a regulatory agency (Securities and Exchange Commission or Commodity Futures Trading Commission), Self-Regulatory Organization and/or broker-dealer.
o Law Degree (JD) and license to practice law in Illinois required.
o Commodity Futures Trading Commission), Self-Regulatory Organization and/or broker-dealer.
Education: Law Degree (JD) and license to practice law in Illinois required.
Please email resumes to Jack Kelly and Jack@ComplianceSearch.com.