Litigation - Securities Litigation - Defense Attorney in Dallas, TX

Public Interest

Dallas, TX

Litigation - Securities Litigation - Defense Attorney in Dallas, TX

Attorney

7-10 yrs required

No

FINRA abides by the requirements of 41 CFR ), ) and ). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and prohibit discrimination against all individuals based on their race, color, religion, sex, or national origin. Moreover, these regulations require that covered prime contractors and subcontractors take affirmative action to employ and advance in employment individuals without regard to race, color, religion, sex, national origin, protected veteran status or disability.

FINRA is an Equal Opportunity and Affirmative Action Employer No. of words: 500

Job Title: Vice President, Enforcement Legal
Salary Range: $175,600 - $379,700
Experience: Minimum of 10 years of complex litigation experience, preferably involving securities laws

Key Responsibilities:
- Leading attorney teams on timely high-impact investigations and disciplinary actions
- Collaborating with other VPs within Enforcement Legal and FINRA's Regulatory Operations partners
- Managing the performance of Enforcement attorney teams and providing feedback and updates to the department
- Ensuring efficient and consistent regulatory outcomes in collaboration with Member Supervision and Market Regulation Transparency Services
- Providing exemplary service to FINRA's regulatory service agreement customers
- Communicating effectively and collaborating with management and other departments
- Overseeing complex and high-profile enforcement matters
- Supporting program goals and priorities for the entire department
- Managing attorney teams and overseeing recruitment and professional development
- Ensuring timely and foreseeable enforcement outcomes in accordance with departmental priorities, policies, and principles
- Facilitating effective collaboration with Member Supervision and Market Regulation Transparency Services
- Identifying and monitoring high-risk firms and brokers
- Attending and speaking at outside legal and industry regulatory conferences and FINRA meetings
- Leading special projects and producing special reports at the request of senior leadership
- Providing legal expertise within FINRA on enforcement-related matters
- Ensuring high-quality litigation documents and working closely with Enforcement's Litigation team
- Collaborating with other departments and regulators as needed
- Enhancing working relationships and teamwork between Enforcement and other FINRA departments
- Managing and directing employees in a senior capacity in a team environment
- Identifying matters involving complex legal theories and high risk and escalating and coordinating as needed
- Ensuring maximum productivity, effectiveness, and engagement with a large and complex caseload
- Providing support to Operations and Technology functions of Enforcement
- Attending and speaking at outside legal and industry regulatory conferences and FINRA meetings
- Leading special projects and producing special reports at the request of senior leadership
- Providing performance feedback to other senior managers within and outside Enforcement
- Reviewing dockets and reports and meeting regularly with senior Enforcement staff
- Assisting in the assignment and supervision of certain high-priority matters
- Enhancing the working relationships and teamwork between Enforcement and other FINRA departments
- Leading special projects and producing special reports at the request of senior leadership
- Attending and speaking at outside legal and industry regulatory conferences and FINRA meetings
- Speaking to the press and industry on enforcement matters as needed

Qualifications:
- Law degree and appropriately licensed to practice law in all applicable jurisdictions
- Minimum of 10 years of complex litigation experience, preferably involving securities laws
- Minimum of 7 years managing, leading, and directing employees in a senior capacity in a team environment
- Minimum of 5 years working for a regulatory entity, member firm, or law firm with direct involvement in securities enforcement matters
- Superior investigative and legal skills
- Ability to prioritize a complex workload and make difficult decisions
- Excellent interpersonal, organizational, and oral and written communication skills

Working Conditions:
- Work is normally performed in an office environment
- Extended hours may be required on a regular basis

Salary Information:
- Based on location and other factors such as skill set, level of experience, and education
- Full pay ranges are provided for candidates to consider their growth potential while at FINRA
- Salary offers range from the minimum to the mid-point of the salary range

Benefits:
- Comprehensive health, dental, and vision insurance
- Basic life, accidental death and dismemberment, and supplemental life insurance
- Short- and long-term disability, long-term care, and business travel accident insurance
- Retirement benefits including a 401(k) plan with company match and eligibility for an additional FINRA-funded retirement contribution
- Tuition reimbursement, commuter benefits, and other benefits supporting employee wellness
- Paid time off including vacation, personal, sick, volunteer service, bereavement, military, jury duty, and voting and election official leave
- Childbirth and parental leave available after 90 days of employment

Important Information:
- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures related to their role as a securities regulator
- Employees must disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements to FINRA
- Employees must comply with investment restrictions, including disposing of any securities issued by a company on FINRA's Prohibited Company List
- Employees may only maintain securities accounts at firms that provide an electronic feed of data to FINRA
- Employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism

Search Firm Representatives:
- FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity
- A valid written agreement and task order must be in place before any resumes are submitted to FINRA

FINRA is an Equal Opportunity and Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status, or any other classification protected by federal, state, or local laws. FINRA abides by the requirements of 41 CFR