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Date Last Verified
Years of Experience
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.
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.
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.