Senior Litigation Counsel, Enforcement

Min 10 yrs required

Full-time

No

Senior Litigation Counsel, Enforcement - Any FINRA Location



Salary:
- 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: Minimum of 10 years of litigation experience

Organization: FINRA

Department: Office of Hearing Officers (OHO)

Job Requisition ID: R-007844

Responsibilities:
- Litigate nationwide non-disciplinary and disciplinary proceedings filed with OHO
- Brief and argue appeals before the National Adjudicatory Council (NAC)
- Represent FINRA in complex disciplinary and non-disciplinary hearings
- Provide guidance and advice on issues related to statutory disqualification, member application denials, and waiver/exemption requests
- Draft and review legal documents, including complaints, motions, and responses
- Coach staff in litigation strategies and effective use of evidence
- Oversee pre-hearing tasks and ensure team members are adequately prepared for hearings
- Conduct litigation consults and counsel staff on concerns related to potential litigation
- Conduct legal research and prepare advocacy documents
- Negotiate settlements and review Offers of Settlement
- Collaborate with staff across FINRA, such as Enforcement investigative staff and the Office of General Counsel

Other Responsibilities:
- Work on special projects as assigned

Education/Experience Requirements:
-
- Minimum of 10 years of litigation experience, including 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

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

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

FINRA offers a comprehensive benefits package, including health, dental, and vision insurance, life insurance, disability insurance, a 401(k) plan with company match, and many other benefits. Employees also receive paid time off, two volunteer service days, and nine paid holidays.

Important Information:
- FINRA employees must disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements to FINRA
- Employees must comply with FINRA's Code of Conduct and policy on nepotism
- Employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement without modification

Search Firm Representatives:
- FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity
- A valid written agreement and task order must be in place before submitting resumes
- Resumes submitted without a valid agreement and task order will be considered the sole property of FINRA

FINRA is an Equal Opportunity and Affirmative Action Employer:
- All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, 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, respectively
- ©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
H2: Other Responsibilities
H2: Education/Experience Requirements
H2: Work Conditions
H2: Important Information
H2: Search Firm Representatives
H2: FINRA is an Equal Opportunity and Affirmative Action Employer

Not specified

Comprehensive health, dental, and vision insurance, life and disability insurance, retirement savings plan, paid time off, volunteer service days, military leave, jury duty leave, bereavement leave, parental leave, and other benefits.

Not specified

Litigation, Trial Advocacy, Legal Writing, Legal Research, Negotiation, Risk Management, Regulatory Compliance, Securities Law, Appellate Advocacy, Alternative Dispute Resolution

Law degree and admission to the bar.

Submit an application through FINRA's website.

Qualification and Experience Law degree and admission to the bar

Legal