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.
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.
Position requires a law degree, superior academic credentials, 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.
Work is normally performed in an office environment.
Extended hours will be required on a regular basis.
Overnight travel required.
FINRA is a private corporation that acts as a self-regulatory organization (SRO). FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD) and the member regulation, enforcement, and arbitration operations of the New York Stock Exchange.