Vice President and Associate General Counsel - Litigation

Vice President And Associate General Counsel - Litigation

The Vice President and Associate General Counsel - Litigation, reporting to the Senior Vice President/Chief Litigation Counsel (SVP), serves as a senior litigation leader responsible for managing complex litigation matters and leading critical litigation functions within FINRA's OGC Litigation Office. The Vice President and Associate General Counsel - Litigation provides expert legal counsel, directs litigation matters, and ensures effective execution of the department's litigation strategy and objectives. This role requires exceptional judgment, litigation expertise, and the ability to provide sound counsel to senior leaders on matters of significant importance to the organization. The Vice President and Associate General Counsel - Litigation works closely with the SVP to ensure effective representation of FINRA in litigation and provides pre-litigation counseling to mitigate risk, while working closely with the SVP to manage the work of the OGC Litigation group.

Essential Job Functions:

• Act on behalf of the SVP when needed.
• Provide strategic counsel and legal advice regarding litigation matters to the Chief Legal Officer, CEO, and other senior leaders.
• Mentor and develop attorneys and staff members to achieve desired outcomes.
• Foster excellence in legal practice through mentorship, performance feedback, and professional development.
• Drive operational effectiveness through process improvements and quality assurance.
• Demonstrate FINRA's values.
• Collaborate both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.

Litigation Management:

• Provide leadership of OGC Litigation office.
• Lead significant litigation matters and represent FINRA directly in complex judicial proceedings.
• Provide strategic pre-litigation counseling to FINRA management.
• Oversee and manage outside counsel on major litigation matters, ensuring cost-effectiveness and strategic alignment.
• Review and approve legal pleadings filed on behalf of FINRA in external litigation matters prepared by staff attorneys or outside counsel.
• Oversee responses to subpoenas and information requests from external parties.
• Monitor outside counsel expenditures and provide recommendations to optimize litigation budget and resource allocation.
• Prepare litigation reports for FINRA's Board of Governors.
• Report claims and litigation developments to internal and external parties as needed.
• Lead settlement negotiations for matters with significant financial or reputational implications.
• Monitor the external legal environment to identify trends, regulatory developments, and emerging litigation risks that may impact the organization.

Education/Experience Requirements:

• A law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements.
• Minimum of ten years of high-quality practice experience as a litigation attorney, with substantial experience in complex litigation.
• Strong leadership capabilities with experience managing legal teams and multiple concurrent priorities.
• Substantial depth and scope of knowledge with respect to securities regulation, litigation, and the laws and procedural rules of the federal and state courts.
• Knowledge of law regarding self-regulatory organizations preferred.
• Substantial experience managing outside counsel and significant litigation budgets.
• Expert-level written and oral communication skills, including ability to present complex legal issues to senior management and department leadership.
• Experience providing strategic counsel and legal advice to senior executives.
• Advanced analytical, organizational, and problem-solving skills with strong attention to detail.
• Demonstrated sound judgment in sensitive situations requiring discretion and independent decision-making.

Working Conditions:

• Hybrid work environment, with defined in-person presence requirements.
• Occasional travel is required.
• Must be able to work outside of normal business hours frequently, as needed.
• Flexibility to respond to urgent matters may be required.

For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations.

CO/FL/TX: Minimum Salary $192,800, Maximum Salary $379,700

IL/PA: Minimum Salary $192,800, Maximum Salary $379,700

MA/MD/VA/Washington, DC: Minimum Salary $192,800, Maximum Salary $379,700

NY/NJ: Minimum Salary $192,800, Maximum Salary $379,700

#LI-Hybrid

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

The information provided above has been 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.