Senior Litigation Counsel, Enforcement

Min 10 yrs required

Full-time

No

Senior Litigation Counsel, Enforcement - Any FINRA Location

The organization is currently seeking a Senior Litigation Counsel to join their team in any FINRA location. This individual 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 is a full-time position with a competitive salary and benefits package.

Responsibilities:

- Represent FINRA in complex disciplinary proceedings involving violations of federal securities laws, FINRA and NASD Rules, and other self-regulatory organization (SRO) rules.
- Act as first chair in non-disciplinary hearings and litigation related to expedited proceedings, statutory disqualification decisions, membership application decisions, and exemption/waiver decisions.
- Draft appellate briefs and argue appeals before the National Adjudicatory Council.
- Provide guidance and advice to Member Supervision and the Member Application Program on issues related to statutory disqualification, member application denials, and waiver/exemption requests.
- Draft, review, and finalize complaints and other legal documents, including motions, responses, exhibit and witness lists, and pre- and post-hearing briefs.
- Coach and mentor staff in litigation techniques, including effective use of evidence, opening and closing statements, and direct and cross examination of hearing witnesses.
- Oversee all pre-hearing tasks, such as discovery, drafting and arguing motions, collecting and preparing exhibits, and conducting witness preparation.
- Conduct litigation consults, providing guidance on charging issues, legal theories, litigation strategy, and other related topics.
- Conduct legal research and prepare advocacy documents.
- Negotiate settlements with respondents and their attorneys and review and prepare Offers of Settlement.
- Collaborate with staff across FINRA, including Enforcement investigative staff, Member Supervision, Member Application Program, Market Regulation, and Office of General Counsel.

Requirements:

- .
- 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.
- Willingness to work outside of business hours and travel overnight when required.

Salary Information:

The proposed salary range for this position varies by location. In addition to location, actual compensation is based on various factors, including the candidate's skill set, level of experience, education, and internal peer compensation comparisons. The chart below outlines the proposed salary range for the corresponding locations:

- 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

Please note that this position is eligible for a discretionary bonus in addition to base pay. FINRA also provides comprehensive health, dental, and vision insurance, as well as additional insurance options such as life, accidental death and dismemberment, short- and long-term disability, and long-term care. Employees are also immediately eligible for participation in a 401(k) plan with company match and an additional FINRA-funded retirement contribution, as well as tuition reimbursement and other benefits.

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

Important Information:

As a securities regulator, FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures. Employees must disclose all brokerage accounts that they maintain, and those in which they control trading or have a financial interest. Employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.

FINRA abides by the requirements of 41 CFR ) and 41 CFR ), which prohibit discrimination against qualified individuals with disabilities and protected veterans, respectively.

Copyright ©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, basic 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 Research, Appeals, Regulatory Compliance, Oral and Written Communication, Interpersonal, Organizational

Law degree

Submit an application through the FINRA Careers site

Qualification and Experience Law degree and admission to the bar

Legal