Sr. Director/Regional Chief Counsel

Job Description:PLEASE NOTE: While the preference is for this position to be based in Los Angeles, there is flexibility for a well-qualified candidate to be based in our Denver or San Francisco locations. FINRA, created through the consolidation of NASD (National Association of Securities Dealers) and the member regulation, enforcement, and arbitration functions of the New York Stock Exchange, is currently seeking talented individuals for our opening for a Regional Chief Counsel to be located in either Los Angeles, Denver or San Francisco. The Regional Chief Counsel will provide direction and guidance on matters being investigated by regional attorneys in designated offices and the processing and litigation of formal actions. Essential Job Functions: The Regional Chief Counsel supervises the attorneys in four offices and provides substantive direction to them in the course of their investigative work and litigation. Job responsibilities include supervising the attorneys’ work on an ongoing basis, reviewing all enforcement recommendations for sufficiency of the evidence, evaluating all proposed legal theories in support of the charges, reviewing and providing guidance on Investigative Memoranda, recommending the institution of disciplinary charges, reviewing Complaints, Default Motions and other pleadings and participating in selected settlement discussions.The Regional Chief Counsel will also be responsible for prioritizing the workload of the attorneys, ensuring that anticipated actions are timely processed, and evaluating the attorneys’ performance for merit and incentive compensation purposes.The Regional Chief Counsel is also responsible for keeping apprised of important legal, policy and regulatory developments and communicating those to the regional attorneys.At the same time, the Regional Chief Counsel performs special projects at the direction of Enforcement Department management. Education/Experience Requirements: Top academic credentials, law degree and at least 8 years of experience in investigating and/or litigating securities or related cases in federal courts and/or administrative forums.Thorough knowledge of the federal securities laws, the NASD rules, and procedural and evidentiary issues.Excellent written communication and interpersonal skills.Prior management experience is a strong plus. Working Conditions: Work outside business hours and overnight travel will be required. About FINRA: A new single SRO [Self Regulatory Organization] for the U.S. Securities Industry was created with the joining of NASD and NYSE Regulation, Inc. in July 2007. This new SRO is the largest self-regulatory organization for securities brokers and dealers in the world. FINRA streamlines regulation by eliminating dual-regulation that existed for 200 of the largest securities firms in the U.S. Come join us as we become a modern regulator by focusing our efforts not just on enforcement of rules, but on forward thinking activities such as member education, investor education, compliance training for industry firms and increased collaboration with other U.S. and International Regulatory bodies. FINRA is the largest non-governmental regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 5,100 brokerage firms, about 173,000 branch offices and more than 665,000 registered securities representatives. FINRA touches virtually every aspect of the securities business - from registering and educating all industry participants, to examining securities firms, enforcing both FINRA rules and the federal securities laws, and administering the largest dispute resolution forum for investors and member firms. FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services.



Job Experience:Same as above Years of Experience Required: More than 5 years Expected Travel Time: About 25%