Senior Litigation Counsel, Enforcement

Min 10 yrs required

Full-time

No

SEO Friendly Job Title: Senior Litigation Counsel - Enforcement

H1: Join FINRA as a Senior Litigation Counsel

H2: Represent FINRA in Complex Securities Cases

Organization: FINRA

Department: Office of Hearing Officers

Experience: Minimum of 10 years of litigation experience

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

Job Requisition ID: R-007844

Job Type: Full time

Posted on: Posted Today

Location: Any FINRA location

Summary:

FINRA is seeking a highly experienced Senior Litigation Counsel to join their team. The Senior Litigation Counsel will be responsible for representing FINRA in complex disciplinary and non-disciplinary proceedings, as well as briefing and arguing appeals before the National Adjudicatory Council. The ideal candidate will have a minimum of 10 years of litigation experience and a comprehensive knowledge of federal securities laws and trial techniques. This is a full-time position with the possibility of overnight travel and work outside of business hours.

Essential Job Functions:

- Represent FINRA in complex disciplinary proceedings involving violations of federal securities laws and SRO rules.
- Represent FINRA in non-disciplinary hearings and litigation related to expedited proceedings, statutory disqualification decisions, and membership application decisions.
- Draft appellate briefs and argue appeals before the National Adjudicatory Council.
- Provide guidance and advice on statutory disqualification, member application denials, and waiver/exemption requests.
- Draft, review, and finalize legal documents such as complaints, motions, and pre- and post-hearing briefs.
- Coach and mentor staff on litigation strategy and effective use of evidence.
- Oversee pre-hearing tasks and ensure timely production of discovery.
- Conduct litigation consults and advise on charging issues, legal theories, and litigation risks.
- Independently conduct legal research and prepare advocacy documents.
- Negotiate settlements with respondents and their attorneys.
- Collaborate with other FINRA departments as needed.

Other Responsibilities:

- Work on special projects as assigned.

Education/Experience Requirements:

- .
- Minimum of 10 years of litigation experience with first-chair trial experience.
- Excellent litigation, oral, and written communication skills.
- Comprehensive knowledge of federal securities laws, evidence rules, and civil procedure.
- Strong interpersonal and organizational skills.

Work Conditions:

- Possibility of work outside of business hours and overnight travel.

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

Compensation:

In addition to location, actual compensation is based on various factors, including the candidate’s skill set, level of experience, education, and internal peer compensation comparisons. The proposed salary ranges for specific locations are as follows:

- 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.
- FINRA is an Equal Opportunity and Affirmative Action Employer.
- FINRA abides by the requirements of 41 CFR ) and 41 CFR ).
- ©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Benefits:

- Comprehensive health, dental, and vision insurance.
- Additional insurance options such as life, accidental death and dismemberment, and disability.
- Immediate participation in a 401(k) plan with company match.
- Eligibility for participation in an additional FINRA-funded retirement contribution.
- Tuition reimbursement and other benefits.
- Generous time-off program including paid time off, personal days, sick days, and volunteer service days.
- Paid holidays.

Search Firm Representatives:

Please note that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. All resumes submitted without a valid written agreement and task order in place will be deemed the sole property of FINRA.

Join FINRA as a Senior Litigation Counsel and help regulate the securities industry. Apply now!

Not specified

Comprehensive health, dental, and vision insurance, life insurance, short- and long-term disability, retirement plan, tuition reimbursement, time off and paid leave

Not specified

litigation, trial advocacy, oral and written communication, legal research, negotiation, coaching, organizational skills

Law degree

Submit application through FINRA Careers website

Qualification and Experience Law degree and admission to the bar

Legal