Description:

The Enforcement Principal Counsel performs rigorous assessment and effective advocacy in Enforcement matters.

Determine and execute an effective risk-based legal strategy to assess the record fairly.
Collaborate with investigative staff to plan investigations and fully develop the record.
Research and identify the legal requirements for charges.
Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case.
Play a leading role in advancing settlement discussions with respondents.
Play a leading role in conducting litigation preparation and contributing substantively to litigation, including by drafting complaints and conducting witness examinations.
Draft clear and organized analysis, and effective advocacy documents.
Plan for and conduct effective on-the-record testimony of witnesses.
Draft precise and transparent settlement documents.
Leverage data analytics and technology to advance investigations.
Collaborate effectively with other Enforcement attorneys, including as a leading member of teams handling complex matters.
Collaborate effectively with other A Private Corporation departments.
Prioritize matters based on risk.
Collaborate effectively with managers and incorporate feedback into planning and execution.

Education/Experience:

A minimum of seven years relevant legal experience in the financial regulatory space, or related areas.
Knowledge of securities laws and A Private Corporation rules preferred
Excellent oral and written communication and litigation skills.
Excellent interpersonal skills.

Work Conditions:

Work outside of business hours and overnight travel may be required.

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

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.