Principal Counsel, Appellate

Employer
Finra
Location
Washington, DC
Posted
Nov 23, 2021
Closes
Nov 26, 2021
Ref
222251047
Industry
Law
Hours
Full Time
Handle the complete life cycle of appellate matters within FINRA and on appeal to the SEC; provide expert knowledge to the National Adjudicatory Council (NAC) and Board of Directors on all appellate matters and related issues by advising them on factually and legally complex appellate matters.Essential Job Functions:Serves as attorney-advisor to the National Adjudicatory Council (NAC) in FINRA disciplinary proceedings, conducting a thorough review of all assigned cases to determine whether the findings and sanctions are supported by the law and relevant facts and providing high-quality legal advice and guidance to members of the NAC.In connection with NAC appeals, identifies and engages in appropriate legal research on substantive legal matters and procedural issues, counsels NAC Subcommittees, disposes of all pre-hearing matters, conducts appeal hearings, and drafts memoranda and proposed and final decisions.Defends NAC decisions that are appealed to the SEC, through motions practice and appellate briefs.In connection with Membership Appeals, identifies and engages in appropriate legal research on substantive legal matters and procedural issues, counsels hearing panels, disposes of all pre-hearing matters, conducts appeal hearings, and drafts memoranda and proposed and final decisions.Analyze the legal soundness of Hearing Panel decisions and default decisions.Recommend rulings on exemptive requests that are appealed to the NAC.Conduct legal research and make recommendations on questions of disciplinary policy.Education/Experience Requirements:Law degree from an accredited law school, admission to a bar, and a minimum of 4-6 years of relevant legal experience.Litigation experience and advanced working knowledge of rules, regulations and guidelines governing the securities industry.Excellent oral and written communication skills.Excellent interpersonal skillsWorking Conditions:Normal office conditions.Extended hours may be required.To be considered for this position, please submit an application.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"A' button on a job board posting does not take you directly to the FINRA Careers site, enter /careers into your browser to reach our site directly.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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.Important InformationFINRA'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"A cents € 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"A cents € 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 RepresentativesPlease 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 and Affirmative Action EmployerAll qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person's relatives, friends or associates.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.A' (C) 2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.