Assistant General Counsel – Office of Disciplinary Affairs

Role Overview

• 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.

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

Benefits

• comprehensive health, dental and vision insurance
• basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short
• and long-term disability, long-term care, business travel accident, disability and legal
• 401(k) plan with company match
• FINRA-funded retirement contribution
• tuition reimbursement
• commuter benefits
• adoption assistance
• backup family care
• surrogacy benefits
• employee assistance program
• wellness programs
• 15 days of paid time off, 5 personal days and 9 sick days
• two volunteer service days