Senior Litigation Counsel, Enforcement

Min 10 yrs required

Full-time

No

Senior Litigation Counsel, Enforcement - Any FINRA Location

Salary Information:

- California: Minimum Salary $146,200, Maximum Salary $296,100
- Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800
- Colorado/Hawaii: Minimum Salary $127,300, Maximum Salary $246,600
- New York, NY: Minimum Salary $152,700, Maximum Salary $296,100
- Washington: Minimum Salary $127,300, Maximum Salary $283,800

Job Title: Senior Litigation Counsel, Enforcement

Experience Requirements:

- Law degree and admission to the bar.
- A minimum of 10 years of litigation experience with demonstrated ability to administer and try complex securities cases.
- First-chair trial experience.

Job Description:

The Senior Litigation Counsel, Enforcement will work under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC). The role will involve representing FINRA in complex disciplinary proceedings, non-disciplinary hearings, and appeals, as well as providing guidance and advice to other departments within the organization. Other responsibilities may include working on special projects and collaborating with other teams within FINRA.

Responsibilities:

- Represent FINRA in complex disciplinary proceedings and appeals before the National Adjudicatory Council.
- Provide guidance and advice to other departments on issues related to statutory disqualification, member application denials, and waiver/exemption requests.
- Draft and review legal documents, including complaints, motions, and briefs.
- Coach and train staff on litigation strategies and techniques.
- Conduct legal research and prepare advocacy documents.
- Negotiate settlements and review settlement offers.
- Collaborate with other departments within FINRA as needed.

Requirements:

- Law degree and admission to the bar.
- A minimum of 10 years of litigation experience with demonstrated ability to administer and try complex securities cases.
- First-chair trial experience.
- Excellent litigation, oral and written communication skills.
- Comprehensive knowledge of trial techniques, federal securities laws, Federal Rules of Evidence, and Federal Rules of Civil Procedure.
- Excellent interpersonal and organizational skills.
- Ability to work outside of business hours and travel overnight as needed.

Benefits:

- Comprehensive health, dental, and vision insurance.
- Basic and supplemental life insurance.
- Short and long-term disability insurance.
- 401(k) plan with company match.
- Tuition reimbursement.
- 15 days of paid time off, 5 personal days, and 9 sick days.
- Two volunteer service days.
- Military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave.
- Nine paid holidays.

Important Information:

- FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures.
- Employees may only maintain securities accounts at firms that provide an electronic feed of data to FINRA.
- Employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism.
- Search firms must have a valid written agreement and task order in place before submitting resumes to FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer and abides by the requirements of 41 CFR ) and 41 CFR ).

©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Not specified

Comprehensive health, dental, and vision insurance, life and disability insurance, retirement contributions, tuition reimbursement, volunteer service days, time off and paid leave, and other benefits.

Not specified

Litigation, legal writing, oral advocacy, case management, trial strategy, negotiation, legal research, regulatory compliance, public speaking, team coaching, conflict resolution

Law degree

Submit an application through the FINRA Careers website.

Qualification and Experience Law degree, admission to the bar

Legal