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Litigation Director - Non Disciplinary

FINRA. Apr 20,2020 Mar 04,2020 Location USA Rockville MD
This job is expired...

In-House

Attorney

Litigation

Litigation - Whistleblower - CFTC

Min 10 yrs required

Profile

The Litigation Director manages a team of dedicated litigation attorneys and other staff, and, as necessary, litigates non-disciplinary and disciplinary proceedings as first or second chair. The Litigation Director will work closely with Vice President, Litigation to collaborate with teams throughout the Enforcement Department and within Member Supervision, Market Regulation and the Membership Application Program to effectively and timely try cases.

Essential Job Functions:

  • Directly supervise litigation attorneys and other staff, located across the country, in non-disciplinary and disciplinary proceedings.
  • Actively manage all non-disciplinary hearings and litigation arising out of expedited proceedings, statutory disqualification decisions, membership application decisions, and waiver/exemption decisions.   
  • Directly supervise Enforcement’s centralized Rule 9552 program.
  • Manage and coach Enforcement staff in litigations, including managing discovery, trial preparation and trial performance, and providing guidance on litigation strategy.
  • Act as a first or second chair in non-disciplinary and disciplinary hearings, as required.  
  • Actively manage and support the attorneys’ working relationships and teamwork with Enforcement teams and with other FINRA departments, including Member Supervision, Market Regulation, and the Member Application Program.
  • Evaluate performance and provide feedback to litigation staff and Enforcement directors about performance.
  • Create and provide litigation training at the direction of the Vice President, Litigation.
  • Recommend and create policies and procedures that govern non-disciplinary proceedings at the direction of the Vice President, Litigation.
  • Identify opportunities to enhance consistency and efficiency in the litigation program.  
  • Counsel staff and managers on efficient ways to leverage litigation best practices.
  • Provide up-to-date information to the Vice President, Litigation on the litigation docket.

 

Education/Experience Requirements:

  • Position requires a law degree, superior academic credentials, and admission to the bar of the highest court of the District of Columbia or state. 
  • Requires a minimum of ten years of litigation experience with demonstrated successful track record of trying complex securities cases as first chair.
  • Requires superior knowledge of trial techniques, federal securities laws, Federal Rules of Evidence, and Federal Rules of Civil Procedure.
  • Requires superior litigation, oral and written communication skills.
  • Requires ability to manage performance of team members.
  • Excellent, interpersonal, organizational, and oral and written communication skills are essential.

 

Working Conditions:

  • Work is normally performed in an office environment. 
  • Extended hours will be required on a regular basis. 
  • Overnight travel required.

 

Company info

Company Profile

About FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage. In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country. Find out more about us and how we work—and view our current openings—at www.finra.org/careers.