Job Description

A Principal Litigation Counsel works under managerial guidance to litigate nationwide non-disciplinary and disciplinary proceedings before the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC). Essential Job Functions: Represent FINRA in a first or second chair capacity in disciplinary proceedings involving violations of the federal securities laws, FINRA and NASD Rules, Municipal Securities Rulemaking Board rules, and other self-regulatory organization rules. Represent FINRA in a first or second chair capacity in non-disciplinary hearings and litigation arising out of expedited proceedings, statutory disqualification decisions, membership application decisions, and exemption/waiver decisions. 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 thereto, exhibit and witness lists, and pre- and post-hearing briefs. Administer all pre-hearing tasks, including ensuring the timely and complete production of discovery, drafting and arguing motions, collecting and preparing hearing exhibits, and conducting witness prep. Conduct litigation consults, including consulting with staff and managers on charging issues, legal theories, litigation strategy, pleading style, evidentiary issues, litigation risks, and sanctions. Conduct legal research and draft clear and effective advocacy documents. Negotiate settlements with respondents and their attorneys and review and prepare Offers of Settlement. Effectively collaborate with available staff across FINRA as appropriate (Enforcement investigative staff, Member Supervision, Member Application Program, Market Regulation, Office of General Counsel). Education/Experience Requirements: Law degree and admission to the highest court of DC or any state. A minimum of seven years of litigation experience with demonstrated ability to administer and try securities cases. First-chair trial experience is preferred. Strong litigation, oral and written communication skills. Strong interpersonal and organizational 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 will be required. To be considered for this position, please submit an application. FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. FINRA is an Equal Opportunity and Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to 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 as appropriate, or upon the protected status of the person’s relatives, friends or associates. #J-18808-Ljbffr FINRA

Job Tags

Similar Jobs