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Senior Enforcement Counsel

Chicago, IL
Full Time
08-06-2020
Practice Areas: Securities Litigation, Enforcement Job #: R-0995 Exp.: 5+ Years
Description:
Summary
The Senior Enforcement Counsel will be responsible for handling enforcement cases brought on behalf of the Cboe exchanges. This will include handling cases that originate in-house and managing cases and recommendations that third-party service providers handle on behalf of the Cboe exchanges. The individual will also be responsible for providing general support to the Regulatory Division, including every aspect of the enforcement program.

Responsibilities
Performs a combination of the following duties according to departmental guidelines:
  • Provide advice and counsel on investigation/examination enforcement matters for the Cboe exchanges
  • Interact with third-party service providers in connection with outstanding exams/investigations and enforcement matters
  • Manage, supervise and monitor status and resolution of enforcement matters
  • Present enforcement matters and recommendations to the Chief Regulatory Officer for review and approval
  • Engage in settlement discussions and negotiations with opposing counsels
  • Effectively manage a case docket and ensure enforcement matters are timely resolved
  • Collaborate with cross-functional business and legal team members and outside counsel
  • Communicate with other exchange regulatory personnel on cross-market investigations and enforcement matters
  • Assist in the development of regulatory investigations, including, but not limited to, case strategy, rule application and participation in investigative interviews, if necessary
  • Responsible for researching relevant precedent where necessary to ensure recommended sanction levels are appropriate
  • Responsible for representing the Cboe exchanges at disciplinary hearings along with third-party service providers and/or conducting disciplinary hearings on behalf of the Cboe exchanges and writing/reviewing/approving appeal briefs, if necessary
  • Perform other duties as assigned

Requirements

  • Law Degree (JD) and license to practice law in Illinois required
  • Minimum of 5 years of experience in securities litigation and/or enforcement
  • Strong understanding of the financial services industry
  • Excellent written and verbal communication skills
  • Excellent drafting and negotiation skills
  • Outstanding organizational skills and ability to manage multiple projects
  • Must possess excellent written and oral communication skills and strong presentation skills
  • Demonstrated ability to influence and negotiate
  • Candidates should also be self-motivated and able to complete projects working independently as well as in team settings
  • Strong understanding of civil procedures
  • Litigation experience and experience in conducting depositions
  • Previous employment at a regulatory agency (Securities and Exchange Commission or Commodity Futures Trading Commission), Self-Regulatory Organization and/or broker-dealer highly preferred







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