Principal Counsel- Litigation And Policy- Washington, DC

Financial Industry Regulatory Authority, Inc. Washington , DC 20319

Posted 2 months ago

We Work to ProtectInvestors. Join our Team.

The Financial Industry Regulatory Authority (FINRA) isseeking a well-qualified individual for our Principal Counsel- Litigation and Policy opening in Washington, DC. To be considered forthis position, please submit your resume through our career site at no phone calls, please.

Job Profile Summary

The Principal Counsel will handle various activitiesrelated to all aspects of Member Supervision's ("the Department,") non-disciplinarylitigation docket, with some involvement in its guidance and counsellingfunctions. This position is responsible for handling high impact litigationmatters, including serving as a first chair litigator at hearings. Thisposition also serves as lead trial attorney within Member Supervision. This is experienced-level professional work inwhich incumbents are developing their assigned roles, sharpening their skills,and working under managerial guidance.

Essential Job Functions:

  • Represent the Department in non-disciplinary litigationmatters, in a first chair capacity.

  • Handle summary and non-summary expedited litigationproceedings, including appeals taken from FINRA's Membership ApplicationProgram.

  • Actively support and administer FINRA's StatutoryDisqualification Program by drafting recommended decisions on Statutory Disqualificationapplications, and representing the Department at Statutory Disqualificationhearings.

  • Conduct legal research and draft appellate briefs,memorandums of law, discovery responses, motions to dismiss Participate in thepreparation of hearing exhibits to ensure that they are persuasive andsufficient to support the decisions rendered by other FINRA departments.

  • Provide interpretative advice and counsel to MemberRegulation staff, FINRA membership, and other interested parties with respectto FINRA's rules

  • Provide regulatory guidance with respect to the federal securities laws and therules and regulations thereunder.

  • Provide advice and counsel to senior management on the operational impact ofrules and regulations.

  • Prepare legal and policy memoranda, letters, and other documents relating tothe interpretation and administration of securities laws, rules, andregulations as well as to decisions of regulatory and quasi-judicial bodies.

  • Support the administration of RSA and 17d-2 agreements executed with other SROsby providing analysis of pertinent rules that are part of such agreements.

  • Represent Member Regulation in matters of common interestwith 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 ofany state or the District of Columbia.

  • A minimum of eight years relevant legal experience, with at least 3 of thoseyears spent litigating cases in a first chair capacity, is required. Knowledge of the rules of evidence andlitigation strategies is strongly preferred, as is general knowledge of broker/dealersales practice rules and federal securities laws.

  • Strong verbal and written communicationskills, as well as legal research and analytic skills are essential.

  • Excellent analytical and advocacy skills andattention to detail (i.e., ability to draft highly detailed formal documentsthat are thoroughly researched, carefully analyzed, correctly formatted andproperly cited) are also essential.

  • Competence using a personal computer withthe full suite of office software applications preferred.

  • Must be able to multi-task and possess goodinterpersonal skills.

  • Quick-Study/Self-Starter who can advance complex projects with minimaloversight.

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

The information providedabove has been designed to indicate the general nature and level of work of theposition. It is not a comprehensive inventory of all duties, responsibilitiesand qualifications required.

Please note: If the "Apply Now" button on a job boardposting does not take you directly to the FINRA Careers site, enter your browser to reach our site directly.

FINRA strives to make our career site accessible to allusers. If you need a disability-related accommodation for completing theapplication process, please contact FINRA's accommodation help line at240.386.4865. Please note that this number is exclusively for inquiriesregarding application accommodations.

In addition to a competitive salary, comprehensive healthand welfare benefits, and incentive compensation, FINRA offers immediateparticipation and vesting in a 401(k) plan with company match. You will also beeligible for participation in an additional FINRA-funded retirementcontribution, our tuition reimbursement program and many other benefits. If youwould like to contribute to our important mission and work collegially in aprofessional 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 ourrole as a securities regulator. FINRA employees are required to disclose toFINRA all brokerage accounts that they maintain, and those in which theycontrol trading or have a financial interest (including any trust account ofwhich they are a trustee or beneficiary and all accounts of a spouse, domesticpartner or minor child who lives with the employee) and to authorize theirbroker-dealers to provide FINRA with duplicate statements for all of thoseaccounts. All of those accounts aresubject to the Code's investment and securities accountrestrictions, and new employees must comply with thoseinvestment restrictionsincluding disposing of any security issued by a companyon FINRA's Prohibited Company List or obtaining a written waiver from their

Executive Vice Presidentby the date they begin employment with FINRA.Employees may only maintain securities accounts that must be disclosed to FINRAat one or more securities firms that provide an electronic feed (e-feed) ofdata to FINRA, and must move securities accounts from other securities firms toa firm that provides an e-feed within three months of beginning employment.

As standard practice, employees must also execute FINRA'sEmployee Confidentiality and Invention Assignment Agreement withoutqualification or modification and comply with the company's policy on nepotism.


FINRA is an independent, non-governmental regulator for allsecurities firms doing business with the public in the United States. FINRAworks to protect investors and maintain market integrity in a public-privatepartnership with the Securities and Exchange Commission (SEC), while alsobenefiting from the SEC's oversight. In its role as investor guardian, FINRA isinformed, but not influenced, by the industry that it regulates. FINRA's independentregulation plays a critical role in America's financial systemall at no costto taxpayers.

FINRA touches virtually every aspect of the securitiesbusinessfrom registering and educating industry participants to examiningsecurities firms; writing rules; enforcing those rules and the federalsecurities laws; informing and educating the investing public; providing tradereporting and other industry utilities; and administering the largest disputeresolution forum for investors and registered firms. FINRA uses technologypowerful enough to look across markets and detect potential abuses. Using avariety of data gathering techniques, we work to detect insider trading and anystrategies firms or individuals use to gain an unfair advantage.

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

Find out more about us and how we workand view our currentopeningsat

Search FirmRepresentatives

Please be advised that FINRA is not seeking assistance oraccepting unsolicited resumes from search firms for this employmentopportunity. Regardless of past practice, a valid written agreement and taskorder must be in place before any resumes are submitted to FINRA. All resumessubmitted by search firms to any employee at FINRA without a valid writtenagreement and task order in place will be deemed the sole property of FINRA andno fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative ActionEmployer

All qualified applicants will receive consideration foremployment 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 byfederal state or local laws as appropriate, or upon the protected status of theperson'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 thebasis of disability, and requires affirmative action by covered prime contractorsand subcontractors to employ and advance in employment qualified individualswith 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 subcontractorsto employ and advance in employment qualified protected veterans.
2018FINRA. All rights reserved. FINRA is a registered trademark of the FinancialIndustry Regulatory Authority, Inc.

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Principal Counsel- Litigation And Policy- Washington, DC

Financial Industry Regulatory Authority, Inc.