23 days old

Principal Counsel- Litigation and Policy- Washington, DC

Washington, DC
  • Job Code

We Work to Protect
Investors. Join our Team.

The Financial Industry Regulatory Authority (FINRA) is
seeking a well-qualified individual for our
Principal Counsel- Litigation and Policy opening in Washington, DC. To be considered for
this position, please submit your resume through our career site at
www.finra.org/careers ? no phone calls, please.

Job Profile Summary

The Principal Counsel will handle various activities
related to all aspects of Member Supervision?s (?the Department,?) non-disciplinary
litigation docket, with some involvement in its guidance and counselling
functions. This position is responsible for handling high impact litigation
matters, including serving as a first chair litigator at hearings. This
position also serves as lead trial attorney within Member Supervision. This is experienced-level professional work in
which incumbents are developing their assigned roles, sharpening their skills,
and working under managerial guidance.

Essential Job Functions:

  • Represent the Department in non-disciplinary litigation
    matters, in a first chair capacity.
  • Handle summary and non-summary expedited litigation
    proceedings, including appeals taken from FINRA's Membership Application
  • Actively support and administer FINRA?s Statutory
    Disqualification Program by drafting recommended decisions on Statutory Disqualification
    applications, and representing the Department at Statutory Disqualification
  • Conduct legal research and draft appellate briefs,
    memorandums of law, discovery responses, motions to dismiss Participate in the
    preparation of hearing exhibits to ensure that they are persuasive and
    sufficient to support the decisions rendered by other FINRA departments.
  • Provide interpretative advice and counsel to Member
    Regulation staff, FINRA membership, and other interested parties with respect
    to FINRA's rules
  • Provide regulatory guidance with respect to the federal securities laws and the
    rules and regulations thereunder.
  • Provide advice and counsel to senior management on the operational impact of
    rules and regulations.
  • Prepare legal and policy memoranda, letters, and other documents relating to
    the interpretation and administration of securities laws, rules, and
    regulations as well as to decisions of regulatory and quasi-judicial bodies.
  • Support the administration of RSA and 17d-2 agreements executed with other SROs
    by providing analysis of pertinent rules that are part of such agreements.
  • Represent Member Regulation in matters of common interest
    with the Office of General Counsel and the Department of Enforcement.
  • Perform special projects as assigned.


  • Law degree and admission to the bar of the highest court of
    any state or the District of Columbia.
  • A minimum of eight years relevant legal experience, with at least 3 of those
    years spent litigating cases in a first chair capacity, is required. Knowledge of the rules of evidence and
    litigation strategies is strongly preferred, as is general knowledge of broker/dealer
    sales practice rules and federal securities laws.
  • Strong verbal and written communication
    skills, as well as legal research and analytic skills are essential.
  • Excellent analytical and advocacy skills and
    attention to detail (i.e., ability to draft highly detailed formal documents
    that are thoroughly researched, carefully analyzed, correctly formatted and
    properly cited) are also essential.
  • Competence using a personal computer with
    the full suite of office software applications preferred.
  • Must be able to multi-task and possess good
    interpersonal skills.
  • Quick-Study/Self-Starter who can advance complex projects with minimal

To be considered for
this position, please submit a cover letter and resume. A writing sample may be
required as part of the submission.

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.

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.

In addition to a competitive salary, comprehensive health
and welfare benefits, and incentive compensation, 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 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
, 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.

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.


FINRA is an independent, non-governmental regulator for all
securities firms doing business with the public in the United States. FINRA
works to protect investors and maintain market integrity in a public-private
partnership with the Securities and Exchange Commission (SEC), while also
benefiting from the SEC?s oversight. In its role as investor guardian, FINRA is
informed, but not influenced, by the industry that it regulates. FINRA?s independent
regulation plays a critical role in America?s financial system?all at no cost
to taxpayers.

FINRA touches virtually every aspect of the securities
business?from registering and educating industry participants to examining
securities firms; writing rules; enforcing those rules and the federal
securities laws; informing and educating the investing public; providing trade
reporting and other industry utilities; and administering the largest dispute
resolution forum for investors and registered firms. FINRA uses technology
powerful enough to look across markets and detect potential abuses. Using a
variety of data gathering techniques, we work to detect insider trading and any
strategies firms or individuals use to gain an unfair advantage.

In today's fast-paced and complex global economy, FINRA is
a trusted advocate for investors, dedicated to keeping the markets fair and
proactively addressing emerging regulatory issues before they harm investors or
the markets. FINRA operates from Washington, DC, and New York, NY, with other
offices around the country.

Find out more about us and how we work?and view our current
openings?at www.finra.org/careers.

Search Firm

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 and Affirmative Action

All 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.

FINRA. All rights reserved. FINRA is a registered trademark of the Financial
Industry Regulatory Authority, Inc.

Posted: 2018-09-27 Expires: 2018-10-26
Sponsored by:
Farm Credit Services of America Logo
Sponsored by:
Bank of America Logo

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Principal Counsel- Litigation and Policy- Washington, DC

Washington, DC

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