The Litigation Director manages a team of dedicated litigation attorneys and other staff, and, as necessary, litigates non-disciplinary and disciplinary proceedings as first or second chair. The Litigation Director will work closely with Vice President, Litigation to collaborate with teams throughout the Enforcement Department and within Member Supervision, Market Regulation and the Membership Application Program to effectively and timely try cases.

Essential Job Functions:
  • Directly supervise litigation attorneys and other staff, located across the country, in non-disciplinary and disciplinary proceedings.
  • Actively manage all non-disciplinary hearings and litigation arising out of expedited proceedings, statutory disqualification decisions, membership application decisions, and waiver/exemption decisions.
  • Directly supervise Enforcement's centralized Rule 9552 program.
  • Manage and coach Enforcement staff in litigations, including managing discovery, trial preparation and trial performance, and providing guidance on litigation strategy.
  • Act as a first or second chair in non-disciplinary and disciplinary hearings, as required.
  • Actively manage and support the attorneys' working relationships and teamwork with Enforcement teams and with other FINRA departments, including Member Supervision, Market Regulation, and the Member Application Program.
  • Evaluate performance and provide feedback to litigation staff and Enforcement directors about performance.
  • Create and provide litigation training at the direction of the Vice President, Litigation.
  • Recommend and create policies and procedures that govern non-disciplinary proceedings at the direction of the Vice President, Litigation.
  • Identify opportunities to enhance consistency and efficiency in the litigation program.
  • Counsel staff and managers on efficient ways to leverage litigation best practices.
  • Provide up-to-date information to the Vice President, Litigation on the litigation docket.

Education/Experience Requirements:
  • Position requires a law degree and admission to the bar of the highest court of the District of Columbia or state.
  • Requires a minimum of ten years of litigation experience with demonstrated successful track record of trying complex securities cases as first chair.
  • Requires superior knowledge of trial techniques, federal securities laws, Federal Rules of Evidence, and Federal Rules of Civil Procedure.
  • Requires superior litigation, oral and written communication skills.
  • Requires ability to manage performance of team members.
  • Excellent, interpersonal, organizational, and oral and written communication skills are essential.

Working Conditions:
Work is normally performed in an office environment. Extended hours will be required on a regular basis. Overnight travel required.

The salary for this position if the work is performed in New York, New York is a minimum of $143,200 annually to a maximum of $277,800 annually; 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.

Compensation Range for Colorado locations
Annual Salary: $119,400.00 - $231,400.00

To 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.

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Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.