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SalaryThe incumbent performs a variety of specific duties, generally applying advanced analytical skills to provide effective legal representation to FINRA companies, officers and employees in connection with civil, criminal and administrative proceedings. This is senior–level legal work in which incumbents are responsible for risk mitigation in the handling of lawsuits and claims, handling complex litigation matters independently, and supervising and mentoring other attorneys and paralegals.
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.
Essential Job Functions:
- Represents FINRA in complex litigation to which the company, officer or employee is a party, including the drafting of written materials for filing, and correspondence to courts and counsel; works with FINRA client departments in responding to litigation.
- Appears in pretrial and final trial proceedings of cases pending in federal and state courts and develops strategy for successful outcome of litigated cases.
- Conducts oral arguments and prepares briefs in appellate proceedings.
- Engages and manages outside counsel in litigation for represented clients.
- Responds to complex civil and criminal subpoenas and to requests for access to investigative and disciplinary information by federal and state agencies.
- Formulates litigation strategy based on rules, regulations, statutes, and decisions of regulatory and quasi-judicial bodies.
- Advises client departments on litigation impact of proposed rules and procedures, as well as specific cases.
- Advises clients regarding risk associated with contract terms and proposed agreements.
- Conducts internal investigations and gathers and analyzes evidence for legal proceedings.
- Reviews legal research, interviews witnesses, and oversees preparation for presentation of evidence in legal proceedings.
- Responsible for negotiations and settlements with opposing counsel in litigated cases.
- Assists in supervision of other litigation attorneys and paralegals.
- Develops and initiates reports and communications as needed for Chief Legal Officer.
Other Responsibilities:
- Special projects as assigned.
- Provides suggestions to increase efficiency and effectiveness of office procedures.
Education/Experience Requirements:
- Law degree and admission to the bar of the highest court of the District of Columbia or state.
- Minimum of six to eight years of litigation practice, including courtroom experience and the handling of pretrial matters, trials, and appeals.
- At least one year of experience at FINRA preferred.
- Requires an understanding of applicable law, current judicial interpretations and an ability to analyze and advocate orally and in writing.
- Advanced oral and written communication and litigation skills.
- Advanced knowledge of laws, rules and regulations relevant to litigation and the securities industry.
Work Conditions:
- Normal office conditions.
- Occasional travel and extended hours may be required.
For work that is performed in CA, Washington, DC, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.
California: Minimum Salary $146,200, Maximum Salary $296,100
Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800
Colorado/Hawaii: Minimum Salary $127,300, Maximum Salary $246,600
New York, NY: Minimum Salary $152,700, Maximum Salary $296,100
Washington: Minimum Salary $127,300, Maximum Salary $283,800
#LI-Hybrid
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.
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 Employee Relations team at 240.386.4865 or by email at
EmployeeRelations@finra.org.
Please note that this process is exclusively for inquiries regarding application accommodations. Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits.
Time Off and Paid Leave*
FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.
- Based on full-time schedule
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 restrictions, 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.
Search Firm Representatives
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 Employer
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.
