Senior Litigation Counsel, Securities Enforcement Adjudication

The Assistant Special Counsel in the Office of Hearing Officers performs a variety of specific duties, generally applying advanced analytical skills to provide effective legal support to FINRA Hearing Officers in connection with the adjudication of disciplinary proceedings on a wide range of cases brought by FINRA’s Department of Enforcement against FINRA-registered firms and persons associated with FINRA-registered firms, as well as temporary cease and desist proceedings and a variety of other expedited proceedings against FINRA-registered firms and associated persons. The incumbent also provides high level support for the effective adjudication of disciplinary proceedings initiated by the New York Stock Exchange and other self-regulatory organizations against their members and associated persons. This is senior–level legal work in which incumbents are responsible for independently researching complex matters that arise in connection with the adjudication of proceedings within the Office of Hearing Officers (OHO).

Essential Job Functions:

• Serves as a legal advisor to Hearing Officers and attends hearings and pre-hearing conferences as requested, and participates in the adjudication process for disciplinary and expedited proceedings.
• Provides counsel in the determination of whether substantive violations of the federal securities laws, Securities and Exchange Commission rules and regulations, MSRB rules, FINRA rules, or other applicable self-regulatory organizations’ rules have occurred.
• Conducts legal research and prepares memoranda in connection with motions, evidentiary issues, hearings, and decisions.
• Manages case life cycle and hearing process. Coordinates with OHO staff, industry panelists, and parties as required.
• Reviews transcripts of hearings, exhibits and other evidence, as well as motions and briefs filed by the parties. Outlines and summarizes the significant points involved.
• Independently drafts well-written default and expedited decisions and orders in accordance with directions from Hearing Officers. Assists Hearing Officers with the preparation of draft decisions in complex disciplinary proceedings involving multiple respondents or multiple allegations.
• Prepares legal memoranda to advise hearing panelists on issues of law and procedure, compliance with FINRA’s Sanction Guidelines, and all other applicable legal requirements.
• Prepares and maintains policies, procedures, and manuals for different types of expedited and disciplinary proceedings.
• Participates in the rule-making process in connection with amendments to the Code of Procedure. Advises OHO staff and other necessary stakeholders on the impact of proposed rules and changes to procedures.
• Responsible for maintaining OHO’s legal research database, and updating research outlines relating to specific legal topics and sanctions.
• Develops and initiates reports and communications as needed for Chief Hearing Officer and Deputy Chief Hearing Officer.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Other Responsibilities:

• Provides suggestions to increase efficiency and effectiveness of office procedures.

Education/Experience Requirements:

• A law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements.

• Minimum of eight (8) years of litigation practice, including courtroom experience and the handling of pretrial matters, trials, and appeals.

• At least one year of experience at FINRA preferred.

• Requires an understanding of applicable law, current judicial interpretations, and an ability to analyze and advocate orally and in writing.

• Advanced oral and written communication and litigation skills.

• Proven experience in preparing legal memoranda, motions, and briefs, or equivalent.

• Advanced knowledge of laws, rules, and regulations relevant to litigation and the securities industry. Knowledge of federal securities laws, Securities and Exchange Commission rules and regulations, and self-regulatory rules is preferred.

Work Conditions:

• Hybrid work environment, with defined in-person presence requirements.

• Travel required. Extended hours may be required.

For work that is performed in Los Angeles and San Francisco, CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations.

Los Angeles, CA: Minimum Salary $199,994, Maximum Salary $299,990

San Francisco, CA: Minimum Salary $200,009, Maximum Salary $300,013

CO/FL/TX: Minimum Salary $131,100, Maximum Salary $254,000

IL/PA: Minimum Salary $144,000, Maximum Salary $279,500

MA/MD/VA/Washington, DC: Minimum Salary $150,600, Maximum Salary $292,300

NY/NJ: Minimum Salary $150,600, Maximum Salary $305,000

#LI-Hybrid

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

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers 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, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity Employer

All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.

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. Please note that this process is exclusively for inquiries regarding accommodations in the application process.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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