FINRA
Principal Counsel, Appellate
FINRA, Washington, District of Columbia, us, 20022
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 skills.Working Conditions:
Normal office conditions.Extended hours may be required.For work that is performed in CA, CO, 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 of $111,800, Maximum of $220,900Colorado: Minimum of $101,500, Maximum of $184,100New York, NY: Minimum of $121,700, Maximum of $220,900Washington St: Minimum of $101,500, Maximum of $211,700To 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” 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.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.©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
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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 skills.Working Conditions:
Normal office conditions.Extended hours may be required.For work that is performed in CA, CO, 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 of $111,800, Maximum of $220,900Colorado: Minimum of $101,500, Maximum of $184,100New York, NY: Minimum of $121,700, Maximum of $220,900Washington St: Minimum of $101,500, Maximum of $211,700To 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” 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.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.©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
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