Job Details

Senior Litigation Counsel OCHE

Company name

FINRA.

Organization Type

Public Interest

Job Type

Attorney

Date Last Verified

Jul 04,2019

Valid Through

Oct 17,2019

Posted on

Jun 28,2019

Years of Experience

Min 10 yrs required

Location

Rockville, MD, United States

Employment Type

Full-time

Industry

Legal
Practice Area
Litigation >> Litigation - General/Commercial
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Senior Litigation Counsel -OCHE
Duties: Represent in a first- or second-chair capacity in complex litigations involving violations of the federal securities laws, NASD Rules, Municipal Securities Rulemaking Board (MSRB) rules, and other self-regulatory organization (SRO) rules. Be an active participant and coach in litigations; advise on litigation strategy and the effective use of evidence; deliver and coach staff to deliver, opening and closing statements; and conduct, and coach staff to conduct direct and cross examinations of hearing witnesses. Oversee all pre-hearing tasks, including ensuring the timely and complete production of discovery, drafting and arguing motions, collecting and preparing hearing exhibits, and conducting witness prep. Ensure hearing exhibits are persuasive and sufficient to support all allegations in the complaint. Ensure that team members are adequately prepared for hearing; conduct moot sessions and provide feedback to team members on witness prep, witness examination outlines, and work product. Draft, review and/or finalize complaints and other legal documents, including motions and responses thereto, exhibit and witness lists, and pre- and post-hearing briefs. Conduct litigation consults, including consulting with staff and managers on charging issues, legal theories, litigation strategy, pleading style, evidentiary issues, litigation risks, and sanctions. Advise staff on concerns or needs related to any potential litigation, such as required witness testimony, use of transcripts in lieu of testimony, evidence related to sanctions, defenses to mitigation, expert testimony, and summary exhibits. Independently conduct legal research, and prepare clear and concise advocacy documents that requires minimal editing. Negotiate settlements with respondents and their attorneys and review and prepare Offers of Settlement. Represent in appeals before the National Adjudicatory Council; draft appellate briefs and argue appeals as needed. Recommend and deliver content for litigation training as requested. Effectively collaborate with available staff as appropriate (technology, subject matter experts and investigative staff). Provide information and guidance on litigation developments; identify and escalate issues to management where rule, guidance or policy are ambiguous or silent. Ensure consistency and efficiency in the litigation program by reviewing and streamlining work product and counseling staff and managers on efficient ways to leverage litigation best practices.

Qualification and Experience

Qualifications: Law degree and admission to the Bar. 10+ years of relevant litigation experience in a regulatory or legal environment. First-chair trial experience. Excellent oral and written communication and litigation skills. Excellent interpersonal skills. Demonstrated ability to administer, manage, and try complex securities cases. Comprehensive knowledge of trial techniques, Federal Rules of Evidence, and Federal Rules of Civil Procedure is required. Superior litigation skills.

Additional info

Job Number: 007650. Send a cover letter and resume. A writing sample may be required.

Company info

Hiring Coordinator
FINRA.
9509 Key West Avenue
Decoverly Building
Rockville, MD 20850

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