Senior Litigation Counsel, Securities Enforcement Adjudication

# Assistant Special Counsel – Office of Hearing Officers

The Assistant Special Counsel in the Office of Hearing Officers performs a variety of specific duties, generally applying advanced analytical skills to provide effective legal support to FINRA Hearing Officers in connection with the adjudication of disciplinary proceedings on a wide range of cases brought by FINRA’s Department of Enforcement against FINRA‑registered firms and persons associated with FINRA‑registered firms, as well as temporary cease and desist proceedings and a variety of other expedited proceedings against FINRA‑registered firms and associated persons.

The incumbent also provides high‑level support for the effective adjudication of disciplinary proceedings initiated by the New York Stock Exchange and other self‑regulatory organizations against their members and associated persons. This is senior‑level legal work in which incumbents are responsible for independently researching complex matters that arise in connection with the adjudication of proceedings within the Office of Hearing Officers (OHO).

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## Essential Job Functions

– Serves as a legal advisor to Hearing Officers and attends hearings and pre‑hearing conferences as requested, and participates in the adjudication process for disciplinary and expedited proceedings.
– Provides counsel in the determination of whether substantive violations of the federal securities laws, Securities and Exchange Commission rules and regulations, MSRB rules, FINRA rules, or other applicable self‑regulatory organizations’ rules have occurred.
– Conducts legal research and prepares memoranda in connection with motions, evidentiary issues, hearings, and decisions.
– Manages case life cycle and hearing process. Coordinates with OHO staff, industry panelists, and parties as required.
– Reviews transcripts of hearings, exhibits and other evidence, as well as motions and briefs filed by the parties. Outlines and summarizes the significant points involved.
– Independently drafts well‑written default and expedited decisions and orders in accordance with directions from Hearing Officers. Assists Hearing Officers with the preparation of draft decisions in complex disciplinary proceedings involving multiple respondents or multiple allegations.
– Prepares legal memoranda to advise hearing panelists on issues of law and procedure, compliance with FINRA’s Sanction Guidelines, and all other applicable legal requirements.
– Prepares and maintains policies, procedures, and manuals for different types of expedited and disciplinary proceedings.
– Participates in the rule‑making process in connection with amendments to the Code of Procedure. Advises OHO staff and other necessary stakeholders on the impact of proposed rules and changes to procedures.
– Responsible for maintaining OHO’s legal research database and updating research outlines relating to specific legal topics and sanctions.
– Develops and initiates reports and communications as needed for Chief Hearing Officer and Deputy Chief Hearing Officer.
– Demonstration of FINRA’s values.
– Collaboration, both in‑person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

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## Other Responsibilities

– Provides suggestions to increase efficiency and effectiveness of office procedures.

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## Education/Experience Requirements

– A law degree and appropriate licensure to practice law in all applicable jurisdictions based on relevant licensing requirements.
– Minimum of eight (8) 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.
– Proven experience in preparing legal memoranda, motions, and briefs, or equivalent.
– Advanced knowledge of laws, rules, and regulations relevant to litigation and the securities industry. Knowledge of federal securities laws, Securities and Exchange Commission rules and regulations, and self‑regulatory rules is preferred.

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## Work Conditions

Hybrid work environment, with defined in‑person presence requirements.
Travel required. Extended hours may be required.

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## Salary Ranges by Location

Los Angeles, CA: Minimum $199,994 – Maximum $299,990
San Francisco, CA: Minimum $200,009 – Maximum $300,013
CO/FL/TX: Minimum $131,100 – Maximum $254,000
IL/PA: Minimum $144,000 – Maximum $279,500
MA/MD/VA/Washington, DC: Minimum $150,600 – Maximum $292,300
NY/NJ: Minimum $150,600 – Maximum $305,000

#LI‑Hybrid

Applications are accepted on an ongoing basis.

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## Benefits

FINRA provides comprehensive health, dental, and vision insurance; life and disability coverage; long‑term care; business travel accident insurance; legal benefits; 401(k) with company match; additional retirement contributions; tuition reimbursement; commuter benefits; adoption assistance; backup family care; surrogacy benefits; employee assistance; and wellness programs.

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## Time Off and Paid Leave*

15 days PTO, 5 personal days, 9 sick days (pro‑rated first year), 2 volunteer days, military leave, jury duty, bereavement, voting leave, family care leave (after 90 days), childbirth and parental leave (after 90 days), and 9 paid holidays.

*Based on full‑time schedule.

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## Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures. Employees must disclose all brokerage accounts they maintain or control and authorize duplicate statements to FINRA. Accounts must comply with investment restrictions, including disposing of prohibited securities before employment begins unless a waiver is obtained.

Employees may only maintain securities accounts at firms that provide an electronic feed (e‑feed) to FINRA and must move accounts within three months of employment if necessary.

Employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s nepotism policy.

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## Equal Opportunity Employer

FINRA provides equal employment opportunities without regard to protected categories.
Accommodations for the application process are available via FINRA’s Employee Relations team at [240‑386‑4865](tel:2403864865) or [email protected].

FINRA complies with 41 CFR 60‑741.5(a) (disability) and 41 CFR 60‑300.5(a) (protected veterans).

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