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Senior Litigation Counsel, Enforcement - Any FINRA Location
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- The Senior Litigation Counsel works under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC).
- Represent FINRA in appeals before the National Adjudicatory Council; draft appellate briefs and argue appeals as needed.
- Counsel staff on concerns or needs related to any potential litigation, such as required witness testimony, use of transcripts in lieu of testimony, evidence related to sanctions, defenses to mitigation, expert testimony, and summary exhibits.
- Independently conduct legal research, and prepare clear and concise advocacy documents that require minimal editing.
- Effectively collaborate with available staff across FINRA as appropriate (Enforcement investigative staff, Member Supervision, Member Application Program, Market Regulation, Office of General Counsel).
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