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<p><b>Description</b> </p>
<p>The primary role of an Enforcement Counsel is to analyze case referrals from other functional areas within Market Regulation, assess the strengths and weaknesses of the case and the applicable rule violations and to prosecute respondents for such violations. Most prosecutions are resolved through settlement but if a settlement cannot be reached the Enforcement Counsel will take the matter to a contested hearing and handle any appeals.<br> <br> <b>Principal Accountabilities:</b></p>
<ul>
<li><p> 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 respondent’s witnesses, introducing and objecting to documentary evidence, & presentation of effective opening & closing arguments.</p></li>
<li><p> Preparation of written briefs & argument with respect to any appeals following the hearing.</p></li>
<li><p> 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.</p></li>
<li><p> 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.</p></li>
<li><p> 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. Prepare written materials for the Business Conduct Committee in support of 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.</p></li>
<li><p> Serve as legal counsel to the Arbitration Panel.</p></li>
<li><p> Serve as point of contact for other Market Regulation Staff and market participants concerning Rule formation, interpretation and enforcement. Engage in ad hoc projects to improve the disciplinary process.</p></li>
</ul>
<p><b><br> Requirements:</b></p>
<ul>
<li><p> Education, must have a Juris Doctorate</p></li>
<li><p> 3 years of litigation experience</p></li>
<li><p> Knowledge of futures industry preferred but not required</p></li>
<li><p> Fluent in MS Office Word, MS Excel</p></li>
</ul>
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