Counsel, Discovery & Litigation

FINRA

128d • $95,300 - $206,200

About The Position

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.

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.

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

Benefits

• Comprehensive health, dental and vision insurance.
• Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life insurance.
• Short- and long-term disability insurance.
• 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution.
• Tuition reimbursement.
• Commuter benefits.
• Adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
• Generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days.
• Two volunteer service days.
• Paid holidays and various types of paid leave including military leave, jury duty leave, and parental leave.

What This Job Offers

• Education Level: Bachelor's degree
• Number of Employees: 1,001-5,000 employees