Associate General Counsel, Labor & Employment

    • Washington, DC

The Associate General Counsel, Labor and Employment provides legal counseling to the company on employment law matters, offers pre-litigation expertise, manages litigation risk in pending lawsuits, and prepares or supervises the preparation of all legal pleadings filed on behalf of FINRA in employment cases. Provides strategic management direction and critical leadership in all areas of labor relations management; advises executive leadership on all labor relations matters; and manages the interpretation and administration of all aspects of employment and labor law, including oversight of all related grievance, disciplinary and other processes.

This is seniorâ€"level legal work in which the incumbent is responsible for risk mitigation in the handling of claims and potential claims, assisting with or conducting sensitive internal investigations, advising investigators, and working with senior management and representatives of People Solutions. The position requires subject matter expertise of labor and employment laws, regulations, and practices, and the application of legal and business judgment to provide effective legal advice for the avoidance and resolution of issues, potential claims, and claims arising from labor and employment matters, such as recruitment and hiring, wage and hour issues, leaves of absence and accommodations, compensation and benefits, performance management, disciplinary actions and terminations.

This position supports directly the Chief Executive Officer, Chief Financial Officer and Chief Administrative Officer, Chief People Solutions (Human Resources) Officer and Chief Legal Officer on the most sensitive confidential personnel issues facing FINRA, with the leadership and judgment essential to that role.

Essential Job Functions:

Acts as a key advisor to on all labor management and employee relations matters by providing day-to-day legal advice and counseling to FINRA management on a wide range of activities and programs related to employment, labor and human resources matters.

  • Advises FINRA departments on labor and employment issues as they arise.
  • Assists and advises FINRA senior management and departments on issues relating to interactions with federal and state government agencies relating to labor and employment matters, including subpoenas and information requests.
  • Drafts and advises on the content of confidential documents relating to employment matters, including employment agreements, severance agreements, and consulting agreements.
  • Provides counsel and advice to other FINRA departments on the most sensitive and critical employee disciplinary actions and resolution of employment-related disputes and claims.
  • Develops subject-matter expertise on company policies and procedures and delivers training for managers and individual contributors on a variety of employment law topics.
  • Conducts and assists in FINRA internal investigations, in collaboration with other departments as appropriate.
  • Reviews legal research, interviews witnesses, gathers and analyzes materials to be offered into evidence in employment-related proceedings.
  • Identify issues and recommend appropriate actions to correct any labor or employee relations problems and concerns
  • Develop, implement, administer and communicate policies and procedures consistent with policy, laws, and regulations
  • Collaborates with People Solutions leadership to coordinate and align human resources-related initiatives.
  • Investigates and helps resolve employee relations issues and complaints
  • Maintains current substantive knowledge and proactively updates People Solutions and other clients on relevant legislative and regulatory developments and best practices
  • Assists in drafting personnel policies and procedures in accordance with applicable federal and state laws and regulations.


Oversee and coordinate all legal matters handled by outside counsel and mitigate external expenditures on behalf of the Chief Legal Officer and Legal Compliance Officer.
  • Engages and actively manages partner-level attorneys at outside law firms and their associated legal teams in investigations, litigation, and resolution of labor and employment matters.
  • Represents FINRA before administrative agencies in claims or hearings and proceedings relating to employment issues, including developing strategy for the successful outcome of contested proceedings and supervise the preparation of all legal pleadings on FINRA employment cases.
  • Negotiate settlements with opposing counsel in contested labor and employment matters.
  • Directly mitigates FINRA external expenses for outside legal counsel by providing representation to FINRA in-house in place of outside counsel in many instances, and in closely supervising outside counsel to direct their work and minimize their costs.


Other Responsibilities:
  • Leads or participates in other special projects and initiatives as requested.
  • Provides status reports of assigned matters or projects.
  • Develops and reviews communications and preparation of group metrics reports as needed for Chief Legal Officer and other senior management.
  • Provides and implements suggestions to increase efficiency and effectiveness of office procedures.


Education/Experience Requirements:
  • Law degree from an accredited law school, admission to a bar.
  • 10 or more years of directly related labor law/employee relations experience that includes employment law litigation experience.
  • Expert knowledge of laws, rules, practices, and regulations relating to labor and employment.Â
  • Knowledge of FINRA’s culture, employment policies and practices helpful.
  • Excellent oral and written communication skills.
  • Excellent interpersonal, technology, organizational, and analytical skills.


Working Conditions:
  • Normal office conditions.Â
  • Occasional travel.
  • Extended hours are required.


To be considered for this position, please submit an application.

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.

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FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.

In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictionsâ€"including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentâ€"by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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