Senior Litigation Counsel -Enforcement - Rockville, MD or New York, NY

Rockville, MD
Jul 18, 2019
Jul 21, 2019
Accountant, IT
Full Time
We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Senior 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 Senior Litigation Counsel works under minimal supervision to litigate nationwide disciplinary proceedings filed before the Office of Hearing Officers and, if necessary, brief and argue appeals to the National Adjudicatory Council. Essential Job Functions: Represent FINRA in a first- or second-chair capacity in complex litigations involving violations of the federal securities laws, FINRA and NASD Rules, Municipal Securities Rulemaking Board (MSRB) rules, and other self-regulatory organization (SRO) rules. 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 hearing exhibits are persuasive and sufficient to support all allegations in the complaint.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. 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. Conduct litigation consults, including consulting with staff and managers on charging issues, legal theories, litigation strategy, pleading style, evidentiary issues, litigation risks, and sanctions. Advise 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 requires minimal editing. Negotiate settlements with respondents and their attorneys and review and prepare Offers of Settlement. Represent FINRA in appeals before the National Adjudicatory Council; draft appellate briefs and argue appeals as needed. Recommend and deliver content for litigation training as requested. Effectively collaborate with available staff across FINRA as appropriate (technology, subject matter experts and investigative staff). Provide information and guidance on litigation developments; identify and escalate issues to management where rule, guidance or policy are ambiguous or silent. Ensure consistency and efficiency in the litigation program by reviewing and streamlining work product and counseling staff and managers on efficient ways to leverage litigation best practices. SDL2017

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