Senior Litigation Counsel, Enforcement

Min 10 yrs required

Full-time

No

Senior Litigation Counsel, Enforcement - Any FINRA Location

The Senior Litigation Counsel, Enforcement position is a full-time role with a minimum of 10 years of litigation experience. This role involves representing FINRA in complex disciplinary proceedings and appeals, providing guidance to other departments on legal issues, and participating in litigation training. The position requires a law degree and admission to the bar, as well as excellent communication and organizational skills. The Senior Litigation Counsel may also work on special projects as assigned.

Job Title: Senior Litigation Counsel, Enforcement
Location: Any FINRA Location
Time Type: Full time
Job Requisition ID: R-008012
Posted On: Posted Today

Job Responsibilities:

- Represent FINRA in complex disciplinary and non-disciplinary proceedings, as well as appeals before the National Adjudicatory Council.
- Provide guidance to other departments on issues related to statutory disqualification, member application denials, and waiver/exemption requests.
- Draft and review legal documents, including complaints, motions, and briefs.
- Coach and train staff on litigation strategy and effective use of evidence.
- Conduct legal research and prepare advocacy documents.
- Negotiate settlements with respondents and their attorneys.
- Recommend and deliver content for litigation training.
- Collaborate with other departments as needed.

Education/Experience Requirements:

- Law degree and admission to the bar.
- A minimum of 10 years of litigation experience.
- First-chair trial experience.
- Excellent communication and organizational skills.
- Comprehensive knowledge of trial techniques, federal securities laws, and rules of evidence and civil procedure.

Work Conditions:

- Work outside of business hours and overnight travel may be required.

Salary Information:

- California: Minimum Salary $146,200, Maximum Salary $296,100
- Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800
- Colorado/Hawaii: Minimum Salary $127,300, Maximum Salary $246,600
- New York, NY: Minimum Salary $152,700, Maximum Salary $296,100
- Washington: Minimum Salary $127,300, Maximum Salary $283,800

Important Information:

- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures.
- Employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.
- Search firms are not accepted for this employment opportunity.
- FINRA is an Equal Opportunity and Affirmative Action Employer.

To be considered for this position, please submit an application on the FINRA Careers site. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

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About FINRA:

FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. We are a securities regulator that works to protect investors and ensure market integrity in the United States. We also offer a comprehensive benefits package for our employees, including health, dental, and vision insurance, a 401(k) plan with company match, and many other benefits. We encourage our employees to focus on their health and wellness through a generous time-off program, including 15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in the first year). We also support our communities by providing two volunteer service days (based on full-time schedule).

FINRA is committed to diversity and inclusion in its workforce. We do not discriminate on the basis of age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status, or any other classification protected by federal, state, or local laws. We also prohibit discrimination against qualified individuals with disabilities and protected veterans.

©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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