Senior Litigation Counsel, Securities Enforcement Adjudication

Full time Lawyers, Judges, and Related Workers

The Assistant Special Counsel in the Office of Hearing Officers performs a variety of specific duties, generally applying advanced analytical skills to provide effective legal support to FINRA Hearing Officers in connection with the adjudication of disciplinary proceedings on a wide range of cases brought by FINRA’s Department of Enforcement against FINRA-registered firms and persons associated with FINRA-registered firms, as well as temporary cease and desist proceedings and a variety of other expedited proceedings against FINRA-registered firms and associated persons. The incumbent also provides high level support for the effective adjudication of disciplinary proceedings initiated by the New York Stock Exchange and other self-regulatory organizations against their members and associated persons. This is senior–level legal work in which incumbents are responsible for independently researching complex matters that arise i...