Senior Enforcement Attorney

  • $160,000.00 - $200,000.00 plus bonus
  • New York, NY, USA
  • Permanent, Full time
  • The Compliance Search Group, LLC
  • 21 Jan 18 2018-01-21

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.

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:

Provide advice and counsel on investigation/examination enforcement matters.

Manage, supervise and monitor status and resolution of enforcement matters.

Present enforcement matters and recommendations management for review and approval.

Collaborate with cross-functional business and legal team members and outside counsel.

Assist in the development of regulatory investigations, including, but not limited to, case strategy, rule application and participation in investigative interviews if necessary.

Assist in conveying staff’s recommendations for formal disciplinary action.

Responsible for researching relevant precedent where necessary to ensure recommended sanction levels are appropriate. Knowledge, Skills and Abilities:

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.

Experience Required:

Candidates should have minimum of 5 years of experience in securities litigation and 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 Preferred:

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

Education:

Law Degree (JD) and license to practice law in Illinois required.

Commodity Futures Trading Commission), Self-Regulatory Organization and/or broker-dealer. 

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com