Senior Litigation Counsel, Enforcement

Min 10 yrs required

Full-time

No

Senior Litigation Counsel, Enforcement - Any FINRA Location

The Senior Litigation Counsel is responsible for representing the Financial Industry Regulatory Authority (FINRA) in disciplinary and non-disciplinary proceedings. They will also be responsible for briefing and arguing appeals before the National Adjudicatory Council (NAC). This role requires a minimum of 10 years of litigation experience, with demonstrated ability to administer and try complex securities cases. The Senior Litigation Counsel will work under minimal supervision and must have excellent litigation, oral and written communication skills. They must also have comprehensive knowledge of trial techniques, federal securities laws, Federal Rules of Evidence, and Federal Rules of Civil Procedure.

Key Responsibilities:

- Represent FINRA in disciplinary and non-disciplinary proceedings involving violations of federal securities laws, FINRA and NASD Rules, Municipal Securities Rulemaking Board (MSRB) rules, and other self-regulatory organization (SRO) rules.
- Represent FINRA in appeals before the National Adjudicatory Council and draft appellate briefs.
- 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, exhibit and witness lists, and pre- and post-hearing briefs.
- Oversee all pre-hearing tasks and ensure team members are adequately prepared for hearings.
- Conduct litigation consults and provide counsel on potential litigation concerns.
- Independently conduct legal research and prepare advocacy documents.
- Negotiate settlements with respondents and their attorneys.
- Effectively collaborate with available staff across FINRA.

Education/Experience Requirements:

- Law degree and admission to the bar.
- Minimum of 10 years of litigation experience.
- First-chair trial experience.
- Excellent litigation, oral and written communication skills.
- Comprehensive knowledge of trial techniques, federal securities laws, Federal Rules of Evidence, and Federal Rules of 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

Requirements:

- Law degree and admission to the bar.
- Minimum of 10 years of litigation experience.
- First-chair trial experience.
- Excellent litigation, oral and written communication skills.
- Comprehensive knowledge of trial techniques, federal securities laws, Federal Rules of Evidence, and Federal Rules of 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

Education/Experience Requirements:

- Law degree and admission to the bar.
- Minimum of 10 years of litigation experience.
- First-chair trial experience.
- Excellent litigation, oral and written communication skills.
- Comprehensive knowledge of trial techniques, federal securities laws, Federal Rules of Evidence, and Federal Rules of 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

Education/Experience Requirements:

- Law degree and admission to the bar.
- Minimum of 10 years of litigation experience.
- First-chair trial experience.
- Excellent litigation, oral and written communication skills.
- Comprehensive knowledge of trial techniques, federal securities laws, Federal Rules of Evidence, and Federal Rules of 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

Experience/Requirements:

- Law degree and admission to the bar.
- Minimum of 10 years of litigation experience.
- First-chair trial experience.
- Excellent litigation, oral and written communication skills.
- Comprehensive knowledge of trial techniques, federal securities laws, Federal Rules of Evidence, and Federal Rules of 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

Respons

Not specified

Comprehensive health, dental, and vision insurance, life insurance, disability insurance, retirement benefits, tuition reimbursement, 15 days paid time off, 5 personal days, 9 sick days, 2 volunteer service days, military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, childbirth and parental leave, 9 paid holidays

Not specified

Litigation, Trial Experience, Legal Research, Oral and Written Communication, Securities Law, Federal Rules of Evidence, Federal Rules of Civil Procedure, Negotiation, Legal Writing

Not specified

Submit an application on the FINRA Careers website

Qualification and Experience Law Degree, Admission to the Bar

Legal