Senior Litigation Counsel, Enforcement

$146,200 - $296,100/Yr

Financial Industry Regulatory Authority - Denver, CO

Full-time - Senior

Hybrid - Denver, CO

Religious, Grantmaking, Civic, Professional, and Similar Organizations

About the position

The Senior Litigation Counsel works under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC).

Responsibilities

• Represent FINRA in a first or second chair capacity in complex disciplinary proceedings involving violations of the federal securities laws, FINRA and NASD Rules, Municipal Securities Rulemaking Board (MSRB) rules, and other self-regulatory organization (SRO) rules.
• Represent FINRA in a first chair capacity in non-disciplinary hearings and litigation arising out of expedited proceedings, statutory disqualification decisions, membership application decisions, and exemption/waiver decisions.
• Represent FINRA in appeals before the National Adjudicatory Council; draft appellate briefs and argue appeals as needed.
• 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.
• Be an active participant and coach in litigations. Advise on litigation strategy and the effective use of evidence; deliver and coach staff to deliver opening and closing statements; and conduct and coach staff to conduct direct and cross examinations of hearing witnesses.
• Oversee 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.
• Ensure that team members are adequately prepared for hearing; conduct moot sessions and provide feedback to team members on witness prep, witness examination outlines, and work product.
• Conduct litigation consults, including consulting with staff and managers on charging issues, legal theories, litigation strategy, pleading style, evidentiary issues, litigation risks, and sanctions.
• Counsel staff on concerns or needs related to any potential litigation, such as required witness testimony, use of transcripts in lieu of testimony, evidence related to sanctions, defenses to mitigation, expert testimony, and summary exhibits.
• Independently conduct legal research, and prepare clear and concise advocacy documents that require minimal editing.
• Negotiate settlements with respondents and their attorneys and review and prepare Offers of Settlement.
• Recommend and deliver content for litigation training as requested.
• Effectively collaborate with available staff across FINRA as appropriate (Enforcement investigative staff, Member Supervision, Member Application Program, Market Regulation, Office of General Counsel).

Requirements

• Law degree and ten years of litigation experience with demonstrated ability to administer, manage, and try complex securities cases.
• Comprehensive knowledge of trial techniques, Federal Rules of Evidence, and Federal Rules of Civil Procedure is required.
• Superior litigation, oral and written communication skills.
• Admission to the bar of the highest court of the District of Columbia or state.

Benefits

• Comprehensive health, dental and vision insurance.
• Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment insurance.
• Short- and long-term disability, long-term care, business travel accident, disability and legal insurance.
• Immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution.
• Tuition reimbursement.
• Generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year).
• Two volunteer service days (based on full-time schedule).
• Paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave.
• Nine paid holidays.