Overview The Counsel for Discovery & Litigation is responsible for handling the docket of information requests received by FINRA, its officers, and its employees, including third-party subpoenas issued in arbitration proceedings, and civil and criminal litigation cases. The Counsel exercises legal judgment under limited supervision to respond to information requests, preserve privileges, and protect the confidentiality of FINRA information.

FINRA is seeking an experienced attorney to join our Discovery and Litigation team within the Office of General Counsel. The ideal candidate will have strong proficiency with Relativity e-discovery software and excel at managing the complex requirements of subpoena processing. This position is based in either our Washington, DC or Tysons Corner, VA office, with a hybrid work arrangement requiring in-office presence three days per week.

Responsibilities

Handles docket of information requests received by FINRA to include determining complexity of request, identifying applicable objections, and responding to information requests.

Exercises strong analytical, research, and legal skills to assess scope of requests and to identify potentially responsive documents.

Interprets federal, state, and local rules, regulations, and statutes governing information requests issued in legal proceedings.

Prepares written documents related to the requests, including response letters, production letters, and oppositions to motions to compel.

Negotiates scope of information requests and represents FINRA in litigation matters related to information requests.

Locates, gathers, reviews, and prepares documents for production in response to document requests.

Conducts legal research and prepares written work product to support legal advice provided to internal departments.

Prepares reports and analyzes statistical data upon request.

Other Responsibilities

Increases efficiency and effectiveness of procedures related to processing document requests.

Education/Experience Requirements

Law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements.

Minimum of four years of document review or related legal work required.

Basic knowledge of FINRA and the securities industry preferred.

Requires understanding of the Federal Rules of Civil Procedure and demonstrates an ability to analyze and interpret other rules, regulations, and laws.

Requires understanding of privileges and legal standards applicable to information requests.

Advanced oral and written communication skills.

Advanced competency in Relativity, Adobe, Microsoft Office applications, and other electronic office systems.

Work Conditions

Work is normally performed in a hybrid environment, requiring both in person attendance and remote work.

Travel and court appearances may be required.

Extended hours may be required upon short notice.

Compensation and Benefits For work performed in CA, CO, IL, Jersey City, NJ, New York City, NY, MA, MD, Washington, DC, NJ State and NY State, refer to the salary chart for the corresponding location. Actual compensation is based on factors including but not limited to skill set, experience, education, and internal peer compensation comparisons. Salary ranges per location are listed below.

CA: Minimum Salary $109,600, Maximum Salary $206,200

CO*: Minimum Salary $95,300, Maximum Salary $171,800

IL*: Minimum Salary $104,900, Maximum Salary $189,400

Jersey City, NJ/NYC, NY: Minimum Salary $114,300, Maximum Salary $206,200

MA: Minimum Salary $95,300, Maximum Salary $197,600

MD/Washington, DC: Minimum Salary $109,600 Maximum Salary $197,600

NJ State: Minimum Salary $104,900, Maximum Salary $206,200

NY State: Minimum Salary $95,300, Maximum Salary $206,200

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect offers that range from the minimum to the midpoint of the salary range. FINRA provides full pay ranges to support consideration of growth potential.

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Application Information To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

Additional Information The information provided above is designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. This process is exclusively for inquiries regarding application accommodations.

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 60-741.5(a) and 41 CFR 60-300.5(a) regarding disability and protected veterans. FINRA is an equal opportunity employer. 2025 FINRA. All rights reserved.

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