- Represent FINRA in a first or second chair capacity in complex disciplinary proceedings involving violations of the federal securities laws, FINRA and NASD Rules, Municipal Securities Rulemaking Board (MSRB) rules, and other self-regulatory organization (SRO) rules.
- Represent FINRA in a first chair capacity in non-disciplinary hearings and litigation arising out of expedited proceedings, statutory disqualification decisions, membership application decisions, and exemption/waiver decisions.
- Represent FINRA in appeals before the National Adjudicatory Council; draft appellate briefs and argue appeals as needed.
- Provide guidance and advice to Member Supervision and the Member Application Program on issues of statutory disqualification, member application denials, and waiver/exemption requests.
- Draft, review and/or finalize complaints and other legal documents, including motions and responses thereto, exhibit and witness lists, and pre- and post-hearing briefs.
- Be an active participant and coach in litigations. Advise on litigation strategy and the effective use of evidence; deliver and coach staff to deliver opening and closing statements; and conduct and coach staff to conduct direct and cross examinations of hearing witnesses.
- Oversee all pre-hearing tasks, including ensuring the timely and complete production of discovery, drafting and arguing motions, collecting and preparing hearing exhibits, and conducting witness prep.
- Ensure that team members are adequately prepared for hearing; conduct moot sessions and provide feedback to team members on witness prep, witness examination outlines, and work product.
- Conduct litigation consults, including consulting with staff and managers on charging issues, legal theories, litigation strategy, pleading style, evidentiary issues, litigation risks, and sanctions.
- Counsel staff on concerns or needs related to any potential litigation, such as required witness testimony, use of transcripts in lieu of testimony, evidence related to sanctions, defenses to mitigation, expert testimony, and summary exhibits.
- Independently conduct legal research, and prepare clear and concise advocacy documents that require minimal editing.
- Negotiate settlements with respondents and their attorneys and review and prepare Offers of Settlement.
- Recommend and deliver content for litigation training as requested.
- Effectively collaborate with available staff across FINRA as appropriate (Enforcement investigative staff, Member Supervision, Member Application Program, Market Regulation, Office of General Counsel).
- Work on special projects as assigned.
- Law degree and admission to the bar.
- A minimum of 10 years of litigation experience with demonstrated ability to administer and try complex securities cases.
- First-chair trial experience.
- Excellent litigation, oral and written communication skills.
- Comprehensive knowledge of trial techniques, federal securities laws, Federal Rules of Evidence, and Federal Rules of Civil Procedure.
- Excellent interpersonal and organizational skills.
- Work outside of business hours and overnight travel will be required.
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Assistant Principal of Diversity, Equity, and
2 weeks ago
Township High School District 113 Deerfield, United StatesJobID: 2306 · **Position Type**: · Administration Assistant Principal/Assistant Principal**Date Posted**: · 4/19/2024**Location**: · Highland Park High School**Position Title**: Assistant Principal of Diversity, Equity, and Inclusion · **Building**: Highland Park High School · ** ...
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Assistant Director of Finance
4 days ago
Seagate Hospitality Group Delray Beach, United StatesSupport the Director of Finance in all aspects of department operations. Provide direction, leadership, and support to the accounting team. Maintain, prepare, inspect, and deliver regular financial reports. Uphold standards of quality and adherence to all regulations. · **Assista ...
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Director Surgical Services
1 week ago
HCA Florida Woodmont Hospital Tamarac, United StatesThis position is incentive eligible. · **Introduction**: · Executives thrive with us HCA Healthcare is one of the nation's leading providers of healthcare services, comprising of over 180 hospitals and about 2,000 sites of care in 21 states and the United Kingdom. We are looking ...
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Director Emergency Services
2 weeks ago
HCA Florida Woodmont Hospital Tamarac, United StatesThis position is incentive eligible. · **Introduction**: · Executives thrive with us HCA Healthcare is one of the nation's leading providers of healthcare services, comprising of over 180 hospitals and about 2,000 sites of care in 21 states and the United Kingdom. We are looking ...
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Customer Service Manager
1 week ago
CeteraMarketing, LLC North Hollywood, United StatesARE YOU A FIERCE LEADER? Detailed? Organized? With sharp communication skills and a passion for problem solving and customer satisfaction? JOIN OUR TEAM · **ABOUT US** · We are a fast growing, award winning marketing company (promotional products and corporate gifts) that is curr ...
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Director Security
2 weeks ago
Comcast Corporation West Palm Beach, United StatesComcast brings together the best in media and technology. We drive innovation to create the world's best entertainment and online experiences. As a Fortune 50 leader, we set the pace in a variety of innovative and fascinating businesses and create career opportunities across a wi ...
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Director Emergency Services
3 weeks ago
HCA Florida JFK Hospital Atlantis, United StatesThis position is incentive eligible. · **Introduction**: · Executives thrive with us HCA Healthcare is one of the nation's leading providers of healthcare services, comprising of over 180 hospitals and about 2,000 sites of care in 21 states and the United Kingdom. We are looking ...
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Crisis Peer Support Coach
2 weeks ago
Health Care District of Palm Beach County West Palm Beach, United StatesOverview: · The Crisis Peer Support Coach assists individuals throughout recovery, helping them gain skills, access resources, and regain the confidence to succeed in society. They will initiate contact with patients in crisis and support them throughout the recovery process by p ...
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Director of Outlets
2 weeks ago
Hilton Fort Lauderdale, United StatesAs a Director of Outlets, you would be responsible for directing and administering the activities and services of multiple restaurants in the hotel's continuing effort to deliver outstanding guest service and financial profitability. Specifically, you would be responsible for per ...
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Medical Records-
3 weeks ago
Magnolia Manor Groves, United StatesDiversity, Equity, and Inclusion are at the heart of Cantex. We are committed to a culture that respects our differences and values the contributions of all people._**Job Summary** · The overall purpose of the **Medical Records Technician** position is to establish and maintain o ...
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Mental Health Clinician
3 weeks ago
City of Boca Raton, FL Boca Raton, United StatesDo you want to be a part of the team that helps make the City of Boca Raton one of the best places to live, work and play? We provide world class services, parks, beaches, and public safety. This can only happen when the best, brightest, and most committed individuals come to wor ...
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Employment Security Representative I
1 week ago
The State of Florida Palm Coast, United StatesRequisition No: 829778 · Agency: Commerce · Working Title: EMPLOYMENT SECURITY REPRESENTATIVE I · Pay Plan: Career Service · Position Number: · **Salary**: 35,000 · Posting Closing Date: 05/27/2024 · **Total Compensation Estimator **Tool** · **_Employment Security Rep I_** · ** ...
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Director of Security and Safety
2 weeks ago
Hilton Hollywood, United StatesDirector of Security and Safety - The Diplomat Beach Resort, Curio Collection by Hilton · ***is looking for a seasoned, visionary, and proactive · **Director of Security & Safety** · **What will I be doing?** · As a Director of Security and Safety, you would be responsible for di ...
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Director of Housekeeping
3 weeks ago
Hilton Hollywood, United StatesAre you a dynamic leader with a passion for hospitality and impeccable attention to detail? Join our prestigious team at, situated in the heart of Hollywood, Florida. As the Director of Housekeeping, you'll play a pivotal role in ensuring the impeccable cleanliness and organizati ...
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Director, Enforcement
3 weeks ago
finra Boca Raton, United States Full timeFINRA is dedicated to protecting investors and ensuring the integrity of America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations. We have an excitin ...
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Covenant House California Hollywood, United States Full time**COVENANT HOUSE CALIFORNIA**: · **Job Description - TLS (Time Limited Subsidy) Case Manager**: · **As our direct care staff work with youth that are 18-24 years old, we require that applicants are at least 25 years old.** · ***:Under the supervision of the Director of Transition ...
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Campus Safety Supervisor
6 days ago
Lynn University Boca Raton, United StatesSummary: · The primary purpose of the Campus Safety Supervisor is to provide oversight to their assigned Campus Safety Officers and represent Lynn University in daily campus safety operations. Ensure proper campus safety personnel and handle any student, faculty, staff, or guest ...
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Mental Health Clinician
3 weeks ago
City of Boca Raton Boca Raton, United StatesMental Health Clinician · Print ) · Apply · Mental Health Clinician · Salary · $ $38.73 Hourly · Location · Boca Raton, FL · Job Type · Full-Time · Job Number · 03586 · Department · Police Services · Division · Bureau of Field Services 22/07401 · Opening Date · 05/02/2024 · Closi ...
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Mental Health Clinician
3 weeks ago
City of Boca Raton Boca Raton, United StatesMental Health Clinician Print ) Apply ? Mental Health Clinician Salary$ $38.73 HourlyLocation Boca Raton, FLJob TypeFull-TimeJob Number03586DepartmentPolice ServicesDivisionBureau of Field Services 22/07401Opening Date05/02/2024Closing Date5/9/2024 11:59 PM EasternFLSANon-ExemptB ...
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Police Records Manager
1 week ago
City of Boca Raton Boca Raton, United StatesPerforms professional work involving the development, coordination, administration, and evaluation of diversified projects, and directing the central records management program for the City of Boca Raton Police Services Department. · This position is responsible for researching, ...
Senior Litigation Counsel, Enforcement - Boca Raton, United States - finra
Description
The Senior Litigation Counsel works under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC).Essential Job Functions:
Other Responsibilities:
Education/Experience Requirements:
Work Conditions:
For work that is performed in CA, Washington, DC, CO, HI, New York, NY and WA, the chart below outlines the proposed 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.
California: Minimum Salary $146,200, Maximum Salary $296,100
Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800
Colorado/Hawaii: Minimum Salary $127,300, Maximum Salary $246,600
New York, NY: Minimum Salary $152,700, Maximum Salary $296,100
Washington: Minimum Salary $127,300, Maximum Salary $283,800
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Senior Litigation Counsel, Enforcement professionals in Boca Raton
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Gonzalo Garcia Lussardi
Regional General Counsel Latin America