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Corporate - Securities and Capital Markets Attorney / Litigation - Securities Litigation Attorney in Boston, MA

FINRA. Sep 06,2021 Aug 24,2021 Location USA Boston MA
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Public Interest

Attorney

Corporate - Securities and Capital Markets

Litigation - Securities Litigation

Min 7 yrs required

Profile

Director, Enforcement The candidate will manage a team of 5-8 enforcement attorneys developing and resolving enforcement cases through all stages, from inception to completion. Will be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the outcome in every matter is supported by complete, accurate and well-supported factual findings applied to a clear legal framework. Monitor the aging and progress of cases to ensure that matters are resolved promptly and prioritized appropriately using the organization's risk-based approach. Works closely with the Chief Counsel and other Enforcement managers to achieve consistent and foreseeable Enforcement outcomes, including by identifying and escalating interpretive issues. Facilitate active and effective collaboration between enforcement attorneys and investigative staff within and outside of Enforcement. Manage staff performance and development by working with the Chief Counsel to achieve appropriate staff assignments and development opportunities. Communicate effectively with team members in different geographic locations, to assess the quality of cases by applying a rigorous analytical framework, to effectively prioritize and progress matters in a timely fashion, to successfully collaborate with senior management in enforcement and other departments, and to manage personnel effectively. Ensure that the enforcement attorneys conduct thorough and thoughtful factual and legal analysis to achieve optimal outcomes in every enforcement matter. Manage a team of attorneys, who may be located in different locations, handling a diverse docket of cases covering a number of subject matter areas. Work closely with team to achieve high quality legal work, including monitoring investigations to ensure they are adequate and strategic, and reviewing legal analysis to ensure that conclusions of law are based on clear and well-supported legal principles. Also responsible for monitoring case progress to ensure timely progression and appropriate prioritization of high-risk matters. Closely collaborate with investigative staff, both within Enforcement's investigations unit and within the Member Regulation and Market Regulation departments, to jointly develop an accurate and complete factual record governed by a legal framework. Work with the Chief Counsel to identify interpretive questions and potential policy issues that arise during the course of an Enforcement matter, and provide guidance to teams regarding the organization's position and response on such issues. Work closely with Chief Counsels on staffing assignments and staff development to efficiently leverage attorneys' skills and expertise and maximize each attorney's contributions and growth. Provide oversight, direction and active management to Enforcement attorneys to achieve timely and foreseeable high-quality Enforcement outcomes. This includes working closely with attorneys to assess how the record supports each charge in a matter, and whether the basis for each charge is foreseeable and clear based on existing rules, case law and guidance. Monitor case progress and continually assess whether additional staffing or other resources are needed to forward cases in a more timely manner, with an emphasis on rapid resolution of high-risk and other high-priority matters. Actively manage and support the attorneys' working relationships and teamwork with Enforcement investigators and with other departments, including Member Regulation, Market Regulation, Office of Fraud Detection and Market Intelligence, Office of General Counsel and Office of Disciplinary Affairs. Work closely with peers within and outside of Enforcement to achieve effective information-sharing and a strategic partnership in developing a factual record supported by a well-reasoned legal framework. Work closely with other managers to prioritize assignments and resolve conflicts on staff members' dockets. Actively manage teams handling matters throughout the lifecycle of the matter, including providing updates as needed to Enforcement senior management and business partners throughout the organization. Provide guidance to attorneys regarding proposed Enforcement outcomes and other regulatory responses to achieve consistent decision-making based on risk. Work with Chief Counsel to achieve foreseeable charges and sanctions in Enforcement matters under management, including adherence to the organization's priorities and principles. Work with Chief Counsel and attorneys to achieve transparency in Enforcement outcomes and documents, such as settlement agreements and Complaints. Oversee staff members in litigated matters, including managing discovery, trial preparation and trial performance. Provide guidance on litigation strategy and participate in trials as needed. Ensure written work product is high-quality, professional and persuasive. Identify and escalate potential issues of legal interpretation, policy and risk in Enforcement matters on the team's docket. Effectively and frequently communicate with Enforcement senior management about potential issues and questions. Identify and escalate matters involving complex and novel legal theories in order to coordinate as needed, including monitoring developments and advising on risks and outcomes. Identify opportunities to enhance effectiveness through cross-staffing and specialized assignments, and solicit and provide feedback to staff based on observations from other managers. Continuously provide performance feedback to direct reports. Provide performance feedback to other managers regarding their staff's work and collaboration. Review dockets and reports, and meet regularly with staff to monitor quality and timeliness of case progression. Should have a law degree and admission to the Bar of the highest court of the District of Columbia or state. Must have 7+ years of securities-related regulatory and/or complex litigation experience with 5+ years spent working for a regulatory entity, member firm or law firm, with direct involvement in securities enforcement matters. Substantial experience managing, leading and directing employees in a team environment, is required.

Additional info

Req. #: R-003188

Company info