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Carrot Peelers, Sales, Personality and Your Job Search
Public Interest
Attorney
Litigation - General (consumer)
1-2 yrs required
Counsel - Litigation and Policy The candidate will handle and manage various operations and activities related to all aspects of Shared Services’ rule development, interpretation and non-disciplinary litigation. Will be responsible for managing staff and overseeing the unit’s development and delivery of draft rule filings, rule amendments, and interpretive and other information memoranda. Also serves as lead legal expert within Member Regulation. This is a senior-level professional position demonstrating legal and management skills, and works under minimal guidance. Provide interpretative advice to Member Regulation staff, FINRA membership, and other interested parties with respect to FINRA's rules. Provide regulatory guidance with respect to the federal securities laws and the rules and regulations thereunder. Provide advice and counsel to senior management on the operational impact of rules and regulations. Prepare legal and policy memoranda, letters, and other documents relating to the interpretation and administration of securities laws, rules, and regulations as well as to decisions of regulatory and quasi-judicial bodies. Actively support and administer FINRA’s Statutory Disqualification Program by drafting recommendations pursuant to the FINRA Rule 9520 Series. Support the administration of RSA and 17d-2 agreements executed with other SROs by providing analysis of pertinent rules that are part of such agreements. Review, edit, and provide substantive commentary on the written work product of junior legal staff. Manages the development and mentoring of staff at varying levels of expertise. Prepares and delivers performance evaluations. Actively participates in recruiting, interviewing, retaining and recommending pay actions for staff. Provide oversight and guidance to legal externs on tasks assigned to them. Support Member Regulation’s non-disciplinary litigation program (e.g., conduct legal research and draft appellate briefs, memorandums of law, discovery responses, and motions to dismiss; participate in the preparation of hearing exhibits to ensure that they are persuasive and sufficient to support the decisions rendered by other FINRA departments). Represent the Department in key facets of non-disciplinary litigation (e.g., handle summary and non-summary expedited proceedings, appeals taken from FINRA's Membership Application Process, and recommendations made on Statutory Disqualification applications). Represent Member Regulation in matters of common interest with the Office of General Counsel and the Department of Enforcement. Perform special projects as assigned.
Qualification and Experience
The candidate should have law degree and admission to the bar of the highest court of any state or the District of Columbia. 8 years relevant legal experience required, preferable in the securities industry. Also preferred is three years of management experience. Knowledge of SRO sales practice rules and federal securities laws is highly desirable, as is general knowledge of the rules of evidence. Strong verbal and written communication skills, as well as legal research and analytic skills are essential. Excellent analytical and advocacy skills and attention to detail (i.e., ability to draft highly detailed formal documents that are thoroughly researched, carefully analyzed, correctly formatted and properly cited) are also essential.
Job Number: 006200
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