Description:

The Assistant General Counsel within the Office of Disciplinary Affairs (ODA), which with its team of senior-level attorneys, promotes effective self-regulation by ensuring that FINRA disciplinary matters are handled consistently, rigorously, and according to the federal securities laws and SEC, FINRA, and other client self-regulatory organization (SRO) rules and policies on a program-wide basis. The incumbent provides an advanced independent and objective review of proposed formal actions to maintain fairness in the disciplinary process and consistent, even-handed application of FINRA's policies. The incumbent, along with all of ODA's team members, also serves as a catalyst for developing disciplinary policy within the organization in conjunction with the Departments of Enforcement, Market Regulation, and Member Regulation, and the Office of General Counsel. This senior-level professional position requires the incumbent to work collaboratively and in close coordination with colleagues, with minimal direct supervision. The position requires the exercise of a high level of independent judgment, discretion and a level of diplomatic skill.

Essential Job Functions:

Authorize formal disciplinary complaints to be filed by the Department of Enforcement pursuant to the Codes of Procedure of FINRA and SRO clients under the terms of Regulatory Services Agreements.
Accept pre- and post-complaint settlements of formal disciplinary actions and Minor Rule Violation letters by delegated authority from FINRA's National Adjudicatory Council and designated SRO clients.
Perform independent, objective, and rigorous review of cases submitted to ODA to ensure legal sufficiency of charges and fairness and consistency in FINRA actions and those of SRO clients.
Demonstrate proficiency and independence at performing the functions of ODA, including the critical review of advanced levels of proposed disciplinary actions.
Exhibit and maintain an expertise in one or more particular legal and regulatory subject matters.
Offer and provide training and guidance regarding legal, policy and procedural issues to staff in other departments and to colleagues in ODA, both formally and on an ongoing basis in routine and frequent interactions with individual staff members.
Coordinate and collaborate with ODA attorney colleagues on a continuous basis to ensure an efficient and consistent approach to reviewing cases.
Enter information into FINRA database to document review and approval of disciplinary actions and to provide data for internal legal and statistical research and to be used for external reporting.
Initiate and participate in special projects as assigned, both internal to ODA and in collaboration with other departments. Remain flexible in responding to a variable workflow and responsive to requests for expedited review, often on short notice.
Demonstration of FINRA's values.
Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.

Education/Experience Requirements:

A law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements
At least eight years of relevant legal experience
Proficient knowledge and understanding of federal securities laws and relevant SRO rules
Demonstrated excellent oral and written communication and critical reading and editing skills
Excellent interpersonal skills
Experience in securities enforcement or disciplinary program at a regulatory agency

Work Conditions:

Hybrid work environment, with defined in-person presence requirements
Occasional travel and extended hours may be required

For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations.

CO/FL/TX: Minimum Salary $131,100, Maximum Salary $254,000

IL/PA: Minimum Salary $144,000, Maximum Salary $279,500

MA/MD/VA/Washington, DC: Minimum Salary $150,600, Maximum Salary $292,300

NY/NJ: Minimum Salary $150,600, Maximum Salary $305,000

#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.

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