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The Manager, Enforcement Counsel will carry an independent docket of cases to prosecute, focusing on the more complex and high profile cases. He/she will also provide oversight & management of the Enforcement Counsel & Senior Enforcement Counsel in his/her region or will manage critical Enforcement projects, depending on if the person is a people manager or an individual contributor. He/She works closely w/ the Directors and Global Head of Enforcement to develop policies, procedures & strategies for the Enforcement Group. The Manager will also have responsibility for managing the arbitration function in his/her respective region.Principal Accountabilities:
Skills and Software Requirements:
- Assist Global Head of Enforcement on policies, procedures and regulatory philosophies for both Market Regulation as a whole and the Enforcement Group.
- Handle various requests for data and information from the DOJ and CFTC.
- Evaluate the strengths and weaknesses of each case in order to determine the appropriate settlement range and litigation risks of a contested hearing. This will be done through analysis of the data, review of witness statements, discussions with the investigator or analyst who prepared the investigation report, discussion with other Enforcement colleagues and comparisons to other cases. This will include both the Manager’s own cases as well as working with the more junior counsel in valuing their cases.
- Assign cases in Region to the appropriate Enforcement attorney.
- Manage more junior counsel in Region including assisting in case strategy valuation, review of their written work product.
- Assist junior attorneys in preparing for contested hearing before Business Conduct Committee.
- Provide mentoring to more junior attorneys on all aspects of disciplinary process, but particularly for complex cases and contested hearings.
- Negotiation of settlement with respondent or his/her counsel in order to ensure that the sanction is appropriate based on the conduct, disciplinary history and the need for deterrence. Typically handle the complex cases that are more likely to proceed to a contested hearing.
- Maintain case files in an orderly and timely manner by adding materials to Legal files as they are done.
- Ensure all files are complete and do not contain drafts or irrelevant material before the matter is closed. Timely update case log and disciplinary action spreadsheet.
- Prepare written materials for the Business Conduct Committee in support of settlements or in opposition to unsupported settlements.
- Orally present cases to the Probable Cause Committee in order to obtain charges against respondent.
- Orally present cases to the Business Conduct Committee in support of settlements or in opposition to an unsupported settlement
- Conduct contested hearings before the Business Conduct Committee requiring the development of case strategies, preparation direct witnesses for trial in a manner that effectively & efficiently tells market regulation’s story, preparation of effective cross-examination of respondents’ witnesses, introducing & objecting to documentary evidence, & presentation of effective opening & closing arguments. Preparation of written briefs & argument with respect to any appeals following the hearing.
- Administer the Exchange’s arbitration function and serve as legal counsel to the arbitration Panel.
- J.D. from an accredited law school
- 5-7 years of litigation experience; industry experience required
- Admitted to practice law within geographic location.
- MS Word, MS Excel and various proprietary Market Regulation systems
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