Senior Enforcement Counsel

Senior Enforcement Counsel - Belfast

The primary role of a Senior Enforcement Counsel is to analyze case referrals from other functional areas within Market Regulation, assess the applicability of rule violations based on the evidence presented, and value the matters in light of aggravating and mitigating factors and strength of evidence. Upon determining the appropriate rule violation(s) and case value in consultation with the Global Head of Enforcement, the Senior Enforcement Counsel will prosecute the rule violation(s).

Matters that are not resolved through supported settlements will be prosecuted through either the contested hearing protocol or the default process, depending on whether the respondent in the case submits an Answer to charges; the Senior Enforcement Counsel will assist in these matters. The Senior Enforcement Counsel will provide guidance to Enforcement Counsel, handle cases with increased complexity, and take on ad hoc projects.
 

Principal Accountabilities:

• Review assigned cases referred to Enforcement from other functional areas. Assess the applicability of recommended rule violations based upon the evidence contained in the file. 

• Evaluate each referred case, including strength of evidence, litigation risk, aggravating and mitigating factors, disciplinary history, and past precedent in order to determine the appropriate sanction(s). This evaluation consists of analysis of the data in the file, review of all subject/witness statements, discussion with the functional area who referred the matter, and analysis of past cases heard by the Business Conduct Committee.

• Simultaneously manage multiple cases utilizing strong organizational and planning skills and a high degree of initiative to ensure timely resolution of cases. Senior Enforcement Counsel will handle cases with increased complexity. 

• Maintain case files in an orderly and timely manner by adding materials to the necessary filing system. Ensure all files are complete and do not contain drafts or irrelevant material before the matter is closed. Timely update any proprietary case logs.

• Negotiate settlement, request charges from the Chief Regulatory Officer, pursue default findings when applicable. 

• Prepare all written materials submitted to the Chief Regulatory Officer and Business Conduct Committee. Orally present cases before the Business Conduct Committee during settlement, default, and contested hearings. In the event of appeals, prepare written materials and orally present matters before the Appellate Panel. 

• Participate in ad hoc projects 

Skills & Software Requirements:

• Admitted to practice law as a solicitor or barrister within the United Kingdom

• 5-7 years of litigation experience

• Familiarity with Google Workspace and Microsoft Office.

Company Benefits:

• Bonus Programme
• Equity Programme
• Employee Stock Purchase Plan (ESPP)
• Private Medical and Dental coverage
• Mental Health Benefit Programme
• Group Pension Plan
• Income Protection
• Life Assurance
• Cycle To Work
• EV Car Benefit Scheme
• Gym Membership
• Family Leave
• Education Assistance – MBA/Advanced Degree/Bachelor Degree
• Ongoing Employee Development Training/Certification
• Hybrid Working

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