Litigation - Securities Litigation - Defense Attorney in Chicago, IL

Public Interest

Chicago, IL

Litigation - Securities Litigation - Defense Attorney in Chicago, IL

Attorney

Min 10 yrs required

No

FINRA abides by the requirements of 41 CFR ), ) and ). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and prohibit discrimination against all individuals based on their race, color, religion, sex, or national origin. Moreover, these regulations require that covered prime contractors and subcontractors take affirmative action to employ and advance in employment individuals without regard to race, color, religion, sex, national origin, protected veteran status or disability.




Senior Litigation Counsel, Enforcement Services - Full Time

FINRA, the Financial Industry Regulatory Authority, is currently seeking a Senior Litigation Counsel to join our Enforcement Services team. This role will involve representing FINRA in complex disciplinary and non-disciplinary proceedings, as well as handling appeals before the National Adjudicatory Council. The ideal candidate will have a law degree and at least ten years of litigation experience in securities cases. This position offers a competitive salary and benefits package, and may require some travel.

Key Responsibilities:

- Represent FINRA in disciplinary and non-disciplinary proceedings involving violations of securities laws and regulations
- Handle appeals before the National Adjudicatory Council
- Provide guidance on statutory disqualification, member application denials, and waiver/exemption requests
- Draft and review legal documents, such as complaints and motions
- Coach staff on litigation strategy and effective use of evidence
- Conduct legal research and prepare advocacy documents
- Negotiate settlements with respondents and their attorneys
- Collaborate with other departments within FINRA as necessary

Requirements:

- Law degree and licensed to practice in all applicable jurisdictions
- Minimum of ten years of litigation experience, preferably in securities cases
- Knowledge of trial techniques and federal rules of evidence and civil procedure
- Excellent written and oral communication skills

Salary Information:

- Minimum salary ranges from $131,100 to $157,300, depending on location
- Maximum salary ranges from $254,000 to $305,000, depending on location
- Actual compensation may vary based on factors such as experience and education

Benefits:

- Comprehensive health, dental, and vision insurance
- Life and disability insurance
- Retirement plans with company match
- Tuition reimbursement
- Commuter benefits
- Wellness programs

Time Off and Paid Leave:

- 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in first year)
- 2 volunteer service days
- Other paid leave, such as military leave and parental leave

Important Information:

- FINRA employees must disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements to FINRA
- Employees must comply with investment restrictions, including disposing of securities on FINRA's Prohibited Company List
- Employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's nepotism policy

Search Firm Representatives:

- FINRA does not accept unsolicited resumes from search firms without a valid written agreement and task order in place
- Resumes submitted without a valid agreement and task order will be deemed the sole property of FINRA and no fee will be paid in the event of hire

FINRA is an equal opportunity employer and considers all qualified applicants for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status, or any other classification protected by federal, state, or local laws. We also comply with 41 CFR ) and 41 CFR ), which prohibit discrimination against qualified individuals with disabilities and protected veterans, respectively.

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