Senior Litigation Counsel, Enforcement

Min 10 yrs required

Full-time

No

SEO Friendly Job Title: Senior Litigation Counsel, Enforcement - Any FINRA Location

H1: Join the FINRA Team as a Senior Litigation Counsel, Enforcement

H2: Represent FINRA in Complex Securities Cases Nationwide

Key Responsibilities:
- Litigate non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers
- Brief and argue appeals before the National Adjudicatory Council
- Provide guidance and advice on issues of statutory disqualification, member application denials, and waiver/exemption requests
- Draft, review, and finalize legal documents such as complaints, motions, and briefs
- Coach and train staff on litigation strategy and techniques
- Conduct legal research and prepare advocacy documents
- Negotiate settlements with respondents and their attorneys
- Collaborate with other departments within FINRA as needed

Education and Experience Requirements:
- Law degree and admission to the bar
- Minimum of 10 years of litigation experience with first-chair trial experience
- Comprehensive knowledge of federal securities laws and trial techniques
- Excellent communication, interpersonal, and organizational skills

Work Conditions:
- May require work outside of business hours and overnight travel

Salary Information (based on location):
- 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

Important Information:
- FINRA has a Code of Conduct that imposes restrictions on employees' investments and requires financial disclosures
- Employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism

Join the FINRA team as a Senior Litigation Counsel, Enforcement and play a crucial role in representing the organization in complex securities cases nationwide. This position offers a competitive salary and excellent benefits. Apply now to be considered for this opportunity.

Key Responsibilities:
- Litigate non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers
- Brief and argue appeals before the National Adjudicatory Council
- Provide guidance and advice on issues of statutory disqualification, member application denials, and waiver/exemption requests
- Draft, review, and finalize legal documents such as complaints, motions, and briefs
- Coach and train staff on litigation strategy and techniques
- Conduct legal research and prepare advocacy documents
- Negotiate settlements with respondents and their attorneys
- Collaborate with other departments within FINRA as needed

Education and Experience Requirements:
- Law degree and admission to the bar
- Minimum of 10 years of litigation experience with first-chair trial experience
- Comprehensive knowledge of federal securities laws and trial techniques
- Excellent communication, interpersonal, and organizational skills

Work Conditions:
- May require work outside of business hours and overnight travel

Salary Information (based on location):
- 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

Important Information:
- FINRA has a Code of Conduct that imposes restrictions on employees' investments and requires financial disclosures
- Employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism

Join the FINRA team as a Senior Litigation Counsel, Enforcement and play a crucial role in representing the organization in complex securities cases nationwide. This position offers a competitive salary and excellent benefits. Apply now to be considered for this opportunity.

H1: Join the FINRA Team as a Senior Litigation Counsel, Enforcement

H2: Represent FINRA in Complex Securities Cases Nationwide

Senior Litigation Counsel, Enforcement - Any FINRA Location

The Senior Litigation Counsel works 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 requires a law degree and admission to the bar, as well as a minimum of 10 years of litigation experience with first-chair trial experience. The successful candidate will have comprehensive knowledge of federal securities laws and trial techniques, excellent communication and organizational skills, and the ability to work outside of business hours and travel as needed.

Essential Job Functions:

- Represent FINRA in complex disciplinary proceedings involving violations of federal securities laws, FINRA and NASD Rules, MSRB rules, and other SRO rules
- Represent FINRA in non-disciplinary hearings and litigation arising from expedited proceedings, statutory disqualification decisions, membership application decisions, and exemption/waiver decisions
- Draft, review, and finalize complaints and other legal documents, including motions, responses, and briefs
- Provide guidance and advice to Member Supervision and the Member Application Program on issues of statutory disqualification, member application denials, and waiver/exemption requests
- Brief and argue appeals before the National Adjudicatory Council
- Coach and train staff on litigation strategy and techniques
- Conduct legal research and prepare advocacy documents
- Negotiate settlements with respondents and their attorneys
- Collaborate with other departments within FINRA as needed

Other Responsibilities:

- Work on special projects as assigned

Education/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
-

Not specified

Comprehensive health, dental, and vision insurance, life and disability insurance, 401(k) plan with company match, retirement contribution, tuition reimbursement, paid time off, 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, and paid holidays.

Not specified

Trial experience, legal research, oral and written communication, negotiation, coaching, litigation strategy, evidence analysis, legal drafting, case management, legal advice, legal compliance, team management.

Law degree and admission to the bar.

Submit an application through the FINRA Careers website.

Qualification and Experience Law degree and admission to the bar.

Legal