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.

Are you looking for purpose and meaning in your work? Does the idea of working for a financial regulator speak to your moral compass?

As a not-for-profit entity, FINRA operates under the oversight of the SEC and sits at the nexus of broker-dealers, policymakers and investors. Because of this structure, FINRA is uniquely positioned to stimulate vibrant markets that protect investors, ensure robust trading activity, foster liquidity, and support innovation and growth.

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.

Essential Job Functions

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.

Salary Information For work that is performed in CA, CO, IL, Jersey City, NJ, New York City, NY, MA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

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

Other locations : Minimum Salary $95,300–$206,200 (varies by location)

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 salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

LI-Hybrid

#J-18808-Ljbffr