Senior Vice President, Appellate, OGC

Min 12 yrs required

Full-time

No

Organization: FINRA is seeking a highly qualified Senior Vice President, Appellate for our Office of General Counsel (OGC) in Washington, DC or Rockville, MD. The Senior Vice President—Appellate (SVP) will oversee the legal support and guidance provided to the National Adjudicatory Council (NAC) in deciding disciplinary cases, membership applications, statutory disqualifications, and exemptive requests. This role also involves managing the defense of FINRA’s final actions in NAC decisions and other FINRA actions that are appealed to the Securities and Exchange Commission. The SVP will also provide expert knowledge and guidance on complex legal and procedural issues in appellate cases.

The ideal candidate will have a law degree, admission to a bar, and at least 12 years of relevant legal experience. They should also have a strong understanding of securities laws, FINRA rules, and Exchange Act provisions and rules. The SVP should possess excellent management skills and be able to effectively communicate complex and sensitive matters to senior FINRA executives. The role also requires strong oral and written communication skills.

Some of the essential job functions of the Senior Vice President—Appellate include:

- Managing the legal advice and support provided to the NAC, ensuring that all legal questions are thoroughly explored and resolved.
- Crafting proposals to amend FINRA’s Sanction Guidelines to reflect the organization’s priorities and providing guidance to adjudicators and parties in determining appropriate sanctions for rule violations.
- Communicating complex and sensitive appellate matters to senior FINRA executives.
- Providing legal advice to the FINRA Board on disciplinary matters and writing Board decisions for cases decided by the Board.
- Serving as a member of OGC’s senior management team and developing effective relationships with select senior leaders.
- Leading the annual process for recruiting new NAC members, conducting orientation for new members, and providing training and guidance on conflict avoidance.
- Recruiting, hiring, and overseeing the training of new OGC appellate attorneys and providing development opportunities for existing attorneys.

The Senior Vice President—Appellate will also be responsible for managing the defense of all FINRA actions that are appealed to the SEC by establishing FINRA’s strategy and overseeing the drafting of SEC briefs. They will also provide expert advice on FINRA rule changes involving the organization’s Code of Procedure or other litigation-related rule changes.

The successful candidate will have a law degree, admission to a bar, and a minimum of 12 years of relevant legal experience. They should also have highly developed expertise in securities laws and a strong understanding of FINRA rules and Exchange Act provisions and rules. The SVP should possess excellent management skills and have the ability to effectively communicate complex and sensitive matters to senior FINRA executives. They should also have strong oral and written communication skills.

Some of the key qualifications for the Senior Vice President—Appellate include:

- A law degree, admission to a bar, and a minimum of 12 years of relevant legal experience.
- Highly developed expertise in securities laws and expert knowledge of FINRA rules and Exchange Act provisions and rules.
- Strong management skills.
- Excellent oral and written communication skills.

The Senior Vice President—Appellate will work in a normal office environment, with occasional travel and extended hours required. The salary for this position will vary based on location, experience, and other factors, but the proposed salary range for locations such as California, Washington DC, Colorado, Hawaii, and New York ranges from $235,700 to $397,900. FINRA also offers a comprehensive benefits package, including health, dental, and vision insurance, life and disability insurance, a 401(k) plan with company match, and many other benefits.

To be considered for this position, applicants must submit an application through the FINRA Careers site. The information provided above has been designed to indicate the general nature and level of work of the position and is not a comprehensive inventory of all duties, responsibilities, and qualifications required.

FINRA is committed to making its career site accessible to all users. If you require a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team. Employees may also be eligible for a discretionary bonus and various paid leave options, including time off for health and wellness, volunteer service days, and paid holidays.

In summary, the Senior Vice President—Appellate will play a crucial role in managing the legal support and guidance provided to the NAC and overseeing the defense of FINRA’s final actions in NAC decisions and SEC appeals. This position requires a strong understanding of securities laws and FINRA rules, as well as excellent management and communication skills. FINRA offers a competitive salary, comprehensive benefits, and opportunities for professional development and growth. Apply now to join our team as the Senior Vice President—Appellate at FINRA.

Not specified

Comprehensive health, dental, and vision insurance; life and disability insurance; 401(k) plan with company match; retirement contribution; tuition reimbursement; time off and paid leave; volunteer service days; and other benefits.

Not specified

Legal advising, Appellate advocacy, Securities laws, Management, Communication

Law degree

Submit an application on the FINRA Careers site.

Qualification and Experience Law degree, Admission to a bar

Legal