Job Details

Associate General Counsel, Labor & Employment (R-001610)

Company name


Organization Type


Job Type


Date Last Verified

Jan 09, 2021

Posted on

Aug 21, 2020

Years of Experience

Min 10 yrs required


Washington, DC, United States


Practice Area
Labor & Employment >> Labor & Employment
Litigation >> Litigation - Labor & Employment
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Job Summary:

The Associate General Counsel, Labor and Employment provides legal counseling to the company on employment law matters, offers pre-litigation expertise, manages litigation risk in pending lawsuits, and prepares or supervises the preparation of all legal pleadings filed on behalf of FINRA in employment cases. Provides strategic management direction and critical leadership in all areas of labor relations management; advises executive leadership on all labor relations matters; and manages the interpretation and administration of all aspects of employment and labor law, including oversight of all related grievance, disciplinary and other processes.

This is senior–level legal work in which the incumbent is responsible for risk mitigation in the handling of claims and potential claims, assisting with or conducting sensitive internal investigations, advising investigators, and working with senior management and representatives of People Solutions. The position requires subject matter expertise of labor and employment laws, regulations, and practices, and the application of legal and business judgment to provide effective legal advice for the avoidance and resolution of issues, potential claims, and claims arising from labor and employment matters, such as recruitment and hiring, wage and hour issues, leaves of absence and accommodations, compensation and benefits, performance management, disciplinary actions and terminations.

This position supports directly the Chief Executive Officer, Chief Financial Officer and Chief Administrative Officer, Chief People Solutions (Human Resources) Officer and Chief Legal Officer on the most sensitive confidential personnel issues facing FINRA, with the leadership and judgment essential to that role.

Essential Job Functions:

Acts as a key advisor to on all labor management and employee relations matters by providing day-to-day legal advice and counseling to FINRA management on a wide range of activities and programs related to employment, labor and human resources matters.

  • Advises FINRA departments on labor and employment issues as they arise.
  • Assists and advises FINRA senior management and departments on issues relating to interactions with federal and state government agencies relating to labor and employment matters, including subpoenas and information requests.
  • Drafts and advises on the content of confidential documents relating to employment matters, including employment agreements, severance agreements, and consulting agreements.
  • Provides counsel and advice to other FINRA departments on the most sensitive and critical employee disciplinary actions and resolution of employment-related disputes and claims.
  • Develops subject-matter expertise on company policies and procedures and delivers training for managers and individual contributors on a variety of employment law topics.
  • Conducts and assists in FINRA internal investigations, in collaboration with other departments as appropriate.
  • Reviews legal research, interviews witnesses, gathers and analyzes materials to be offered into evidence in employment-related proceedings.
  • Identify issues and recommend appropriate actions to correct any labor or employee relations problems and concerns
  • Develop, implement, administer and communicate policies and procedures consistent with policy, laws, and regulations
  • Collaborates with People Solutions leadership to coordinate and align human resources-related initiatives.
  • Investigates and helps resolve employee relations issues and complaints
  • Maintains current substantive knowledge and proactively updates People Solutions and other clients on relevant legislative and regulatory developments and best practices
  • Assists in drafting personnel policies and procedures in accordance with applicable federal and state laws and regulations.

Oversee and coordinate all legal matters handled by outside counsel and mitigate external expenditures on behalf of the Chief Legal Officer and Legal Compliance Officer.

  • Engages and actively manages partner-level attorneys at outside law firms and their associated legal teams in investigations, litigation, and resolution of labor and employment matters.
  • Represents FINRA before administrative agencies in claims or hearings and proceedings relating to employment issues, including developing strategy for the successful outcome of contested proceedings and supervise the preparation of all legal pleadings on FINRA employment cases.
  • Negotiate settlements with opposing counsel in contested labor and employment matters.
  • Directly mitigates FINRA external expenses for outside legal counsel by providing representation to FINRA in-house in place of outside counsel in many instances, and in closely supervising outside counsel to direct their work and minimize their costs.

Other Responsibilities:

  • Leads or participates in other special projects and initiatives as requested.
  • Provides status reports of assigned matters or projects.
  • Develops and reviews communications and preparation of group metrics reports as needed for Chief Legal Officer and other senior management.
  • Provides and implements suggestions to increase efficiency and effectiveness of office procedures.

Education/Experience Requirements:

  • Law degree from an accredited law school, admission to a bar.
  • 10 or more years of directly related labor law/employee relations experience that includes employment law litigation experience.
  • Expert knowledge of laws, rules, practices, and regulations relating to labor and employment. 
  • Knowledge of FINRA’s culture, employment policies and practices helpful.
  • Excellent oral and written communication skills.
  • Excellent interpersonal, technology, organizational, and analytical skills.

Working Conditions:

  • Normal office conditions. 
  • Occasional travel.
  • Extended hours are required.


Company info


Company Profile

FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage.