Senior Appellate Counsel, Enforcement

$146,200 - $296,100/Yr

Financial Industry Regulatory Authority - Boca Raton, FL

Full-time - Senior

Hybrid - Boca Raton, FL

Religious, Grantmaking, Civic, Professional, and Similar Organizations

About the position

The Senior Appellate Counsel works under the Vice President, Litigation to execute the Enforcement Department's national appellate program. This role involves representing Enforcement in appeals, conducting research, preparing appellate briefs, and collaborating with various stakeholders to ensure effective execution of appeals. The Senior Appellate Counsel will also coach other attorneys, review hearing panel decisions, and recommend policies regarding appeals.

Responsibilities

• Represent Enforcement in appeals before the National Adjudicatory Council by briefing or arguing appeals.
• Coach other Enforcement attorneys briefing and arguing appeals.
• Independently conduct research and prepare appellate briefs that require minimal editing.
• Review and edit appellate briefs drafted by other Enforcement attorneys.
• Collaborate with the Vice President, Litigation, Chief Counsels, Senior Directors, Directors and attorneys across the department to discuss assignments.
• Coach and advise attorneys across Enforcement on the appellate process and forum, brief writing and oral advocacy.
• Conduct moots to ensure attorneys are fully prepared for oral argument.
• Review all hearing panel decisions and advise the Vice President, Litigation and department executive management about whether or not Enforcement should appeal the decision.
• Recommend and develop policies and procedures regarding appeals.
• Determine the need to revise the department's litigation practices as a result of important appellate decisions.
• Direct and train litigation attorneys on the revised litigation practices.
• Recommend and develop training on briefing and arguing appeals.
• Communicate important findings or sanctions in NAC decisions to Enforcement executive management.
• Provide up-to-date information to Vice President, Litigation on appellate docket.
• Track and monitor the progress of all appeals to ensure deadlines are met.

Requirements

• A law degree and appropriately licensed to practice law in all applicable jurisdictions.
• A minimum of 10 years of experience with demonstrated ability to handle all phases of appeals.
• Superior knowledge of trial techniques, federal securities laws, Federal Rules of Evidence, and Federal Rules of Civil Procedure.
• Excellent research, writing, analytical, organizational and time management skills.
• Excellent interpersonal, written and oral communications skills.

Benefits

• Comprehensive health, dental and vision insurance.
• Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life insurance.
• Short- and long-term disability insurance.
• 401(k) plan with company match and additional FINRA-funded retirement contribution.
• Tuition reimbursement.
• Commuter benefits.
• Adoption assistance.
• Backup family care.
• Surrogacy benefits.
• Employee assistance programs.
• Wellness programs.
• 15 days of paid time off, 5 personal days, and 9 sick days.
• Two volunteer service days.
• Paid holidays.