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Carrot Peelers, Sales, Personality and Your Job Search
Public Interest
Attorney
Litigation - General (consumer)
Min 7 yrs required
Principal Litigation Counsel (Non-Disciplinary) – Enforcement The candidate works under managerial guidance to litigate nationwide non-disciplinary and disciplinary proceedings before the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC). Represent company in a first or second chair capacity in disciplinary proceedings involving violations of the federal securities laws, company and NASD Rules, Municipal Securities Rulemaking Board rules, and other self-regulatory organization rules. Represent company in a first or second chair capacity in non-disciplinary hearings and litigation arising out of expedited proceedings, statutory disqualification decisions, membership application decisions, and exemption/waiver decisions. Provide guidance and advice to Member Supervision and the Member Application Program on issues of statutory disqualification, member application denials, and waiver/exemption requests. 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. Administer 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. Conduct litigation consults, including consulting with staff and managers on charging issues, legal theories, litigation strategy, pleading style, evidentiary issues, litigation risks, and sanctions. Conduct legal research and draft clear and effective advocacy documents. Negotiate settlements with respondents and their attorneys and review and prepare Offers of Settlement. Effectively collaborate with available staff across company as appropriate (Enforcement investigative staff, Member Supervision, Member Application Program, Market Regulation, Office of General Counsel).
Qualification and Experience
The candidate should have Law degree and admission to the highest court of DC or any state. Must have 7+ years of litigation experience with demonstrated ability to administer and try securities cases. First-chair trial experience is preferred. Strong litigation, oral and written communication skills are required. Should have strong interpersonal and organizational skills. Must have comprehensive knowledge of trial techniques, federal securities laws, Federal Rules of Evidence, and Federal Rules of Civil Procedure.
Ref R-000792
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