Senior Litigation Counsel, Enforcement -

Min 10 yrs required

Full-time

No

Senior Litigation Counsel, Enforcement - Any FINRA Location

Job Title: Senior Litigation Counsel, Enforcement
Salary Range: Minimum salary $127,300 - Maximum salary $296,100 (based on location and qualifications)
Experience: Minimum of 10 years of litigation 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). This position is open to candidates in various locations throughout the United States.

Essential Job Functions:

- Represent FINRA in complex disciplinary and non-disciplinary proceedings involving violations of federal securities laws, FINRA and NASD Rules, and other self-regulatory organization (SRO) rules.
- Argue appeals before the National Adjudicatory Council and draft appellate briefs.
- Provide guidance and advice on statutory disqualification, member application denials, and waiver/exemption requests.
- Draft and review legal documents such as complaints, motions, and pre- and post-hearing briefs.
- Coach and mentor staff in litigation techniques and strategies.
- Oversee pre-hearing tasks and ensure team members are adequately prepared for hearings.
- Conduct litigation consults and advise on charging issues, legal theories, and litigation risks.
- Conduct legal research independently and prepare high-quality advocacy documents.
- Negotiate settlements with respondents and their attorneys.
- Deliver and recommend content for litigation training.

Other Responsibilities:

- Work on special projects as assigned.

Education/Experience Requirements:

- Law degree and admission to the bar.
- Minimum of 10 years of litigation experience with first-chair trial experience.
- Excellent litigation, oral and written communication skills.
- Comprehensive knowledge of trial techniques, federal securities laws, and rules of evidence and civil procedure.
- Excellent interpersonal and organizational skills.

Work Conditions:

- Work outside of business hours and overnight travel may be required.

Salary Information:

- For work performed in CA, Washington, DC, CO, HI, New York, NY, and WA, the proposed salary range is $127,300 - $296,100.
- Actual compensation is based on various factors, including qualifications and internal peer compensation comparisons.

How to Apply:

To be considered for this position, please submit an application through the FINRA Careers site. Applications are accepted on an ongoing basis.

Additional Information:

- This position may be eligible for a discretionary bonus in addition to base pay.
- FINRA provides comprehensive health, dental, and vision insurance, as well as additional insurance options.
- Employees may participate in a 401(k) plan with company match and may be eligible for additional retirement contributions.
- FINRA offers a generous time-off program, including paid time off, personal days, sick days, and two volunteer service days.
- Other paid leave includes military leave, jury duty leave, bereavement leave, and parental leave.
- Employees receive nine paid holidays.
- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures.
- Employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.
- FINRA is an Equal Opportunity and Affirmative Action Employer.
- All qualified applicants will receive consideration for employment without regard to age, citizenship status, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status, or any other classification protected by federal, state, or local laws.
- FINRA abides by the requirements of 41 CFR ) and 41 CFR ) regarding discrimination against qualified individuals with disabilities and protected veterans.
- ©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

H1: Senior Litigation Counsel, Enforcement - Any FINRA Location

H2: Essential Job Functions, Other Responsibilities, Education/Experience Requirements, Work Conditions, Salary Information, How to Apply, Additional Information

Not specified

Comprehensive health, dental, and vision insurance; basic life, accidental death and dismemberment, and supplemental life insurance; short- and long-term disability; long-term care; business travel accident insurance; 401(k) plan with company match; FINRA-funded retirement contribution; tuition reimbursement; 15 days of paid time off; 5 personal days; 9 sick days; 2 volunteer service days; military leave; jury duty leave; bereavement leave; voting and election official leave; care of a family member leave; childbirth and parental leave; 9 paid holidays

Not specified

Litigation, Trial Advocacy, Legal Writing, Legal Research, Oral Advocacy, Negotiation, Strategic Planning, Team Management, Coaching, Securities Regulation, Compliance, Risk Management

Law degree

Submit an application on the FINRA Careers website

Qualification and Experience Law degree, Admission to the bar

Legal