Overview

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.

Experience Required:

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

Preferred:

o    Previous employment at a regulatory agency (Securities and Exchange Commission or Commodity Futures Trading Commission), Self-Regulatory Organization and/or broker-dealer.

Education:

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.

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