Chief Litigation Counsel -Enforcement (OCHE)- Rockville, MD or New York, NY

Rockville, MD
Feb 14, 2019
Feb 15, 2019
Executive, Chief
Full Time
We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Chief Litigation Counsel opening in Rockville, MD or New York, NY. To be considered for this position, please submit your resume through our career site at no phone calls, please. Job Summary: The Chief Litigation Counsel provides guidance and direction on litigated matters, best practices and policy to the Enforcement department. The Chief Litigation Counsel is a senior legal advisor to Enforcement and is responsible for ensuring the quality and consistency of Enforcements litigation program. The Chief Litigation Counsel also is responsible for actively managing staff performance and development, including ensuring that staffing assignments leverage attorney skills appropriately. Essential skills include the ability to communicate effectively across a widely-dispersed department, to successfully collaborate with senior management in Enforcement and other departments, to manage personnel (including team members in remote locations) effectively, and to oversee the efficient execution of litigated matters. The Chief Litigation Counsel is required to closely collaborate with teams throughout the Enforcement department and within the Member Supervision and Market Regulation departments, to prosecute high-impact litigation. The Chief Litigation Counsel is responsible for identifying interpretive questions and potential litigation policy issues that require additional guidance to teams regarding FINRAs position and response on such issues. To do so, the Chief Litigation Counsel works closely with Enforcement management and other FINRA departments to identify, escalate and strategically manage matters in litigation that involve novel or unique questions, to achieve a consistent response on behalf of FINRA. Essential Job Functions: * The Chief Litigation Counsel manages the Enforcement litigation program to achieve high-impact results in disciplinary hearings and appeals. * Specific responsibilities include: * Directly supervise Litigation Director and other members of litigation staff * Provide strategic guidance and oversight of disciplinary litigation, including Enforcements most complex litigation matters; collaborate closely with Enforcement teams Chief Counsels to achieve appropriate staffing, preparation and execution of hearings and appeals. * Review and manage staffing on litigated matters to ensure appropriate prioritization. * Advise on strategy and work product in disciplinary hearings and appeals of particular regulatory significance, including complex matters, matters involving high risk conduct, and urgent matters. * Take a leadership role in consulting on complex, difficult or large matters likely to litigate involving important, sensitive, or novel issues including evaluating the legal theories in support of charges primarily regarding cutting edge cases where there is a lack of precedent. * Directly manage and supervise high-profile, complex litigation where appropriate. * Actively manage teams handling high-priority and complex litigation throughout the lifecycle of the matter, including providing regular updates to Enforcement senior management. * Develop and manage department-wide litigation training and coaching program. * Manage department-wide trial preparation program, including overseeing moot exams and arguments. * Observe hearings as needed to assess skills and identify areas for development. * Review litigation docket to identify programmatic risks and ensure appropriate response or mitigation. * Discuss new developments, lessons learned, and best practices with department staff in regular communications. * Provide updates and feedback, and engage in strategy discussions and trial planning, with RSA clients as needed. * Identify and monitor potential issues of legal interpretation, policy and risk in Enforcement matters on the litigation teams docket. * Serve as a key source of legal expertise within FINRA on litigation related matters. * Effectively and frequently communicate with Enforcement senior management about potential issues and questions, and participate in discussions about FINRAs position and response with others across FINRA, in coordination with Enforcement senior management. * Actively manage and support the litigation attorneys and directors working relationships and teamwork with Enforcement teams and with other FINRA departments, including Member Supervision and Market Regulation. * Review dockets and reports, and meet regularly with staff to monitor quality of work. * Continuously provide performance feedback to direct reports and the attorneys they manage. * Lead change in the Enforcement program by focusing on risk-based Enforcement decision-making and analytical rigor. * Lead special projects as requested. * Evaluate all Litigation Group staff regarding performance for merit and incentive compensation.