Senior Vice President, Appellate, OGC

Essential Job Functions:

• Manage OGC's legal advice and support to the NAC to ensure that legal questions are fully explored and resolved; provide in-depth legal advice to members of the NAC Subcommittee preparing the initial decision in a case and the NAC during its deliberations on cases.
• Manage the defense of all FINRA actions that are on appeal to the SEC by establishing FINRA's strategy and overseeing FINRA's SEC briefs to ensure consistently outstanding advocacy.
• Craft proposals to amend FINRA's Sanction Guidelines to reflect FINRA's priorities and provide guidance to adjudicators and parties who are considering sanctions to impose for rule violations.
• Communicate complex and sensitive appellate matters to senior FINRA executives.
• Provide legal advice to the FINRA Board regarding disciplinary matters, including calling a case for review and writing Board decisions for cases decided by the Board.
• Provide expert advice regarding FINRA rule changes involving FINRA's Code of Procedure or other litigation-related rule changes.
• Serve as a member of OGC's senior management team. Develop and maintain effective relationships with select senior leaders.
• Provide client services under FINRA's regulatory services agreements for appeals of disciplinary cases involving violations of Exchange rules.
• Lead the annual process for recruiting new NAC members. Conduct orientation of new NAC members, and train and advise the NAC on avoidance of conflicts.
• Recruit, hire, and oversee training of new OGC appellate attorneys. Provide development opportunities for appellate attorneys and assess their performance.

Education/Experience Requirements:

• Law degree, admission to a bar, and a minimum of 12 years of relevant legal experience.
• Highly developed expertise in securities laws and expert knowledge of FINRA rules and Exchange Act provisions and rules.
• Strong management skills.
• Excellent oral and written communication skills.

Working Conditions:

• Normal office conditions. Occasional travel and extended hours are required.

For work that is performed in CA, Washington DC, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. 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 internal peer compensation comparisons.

California: Minimum Salary $235,700, Maximum Salary $397,900

Washington, DC: Minimum Salary $235,700, Maximum Salary $397,900

Colorado/Hawaii: Minimum Salary $235,700, Maximum Salary $397,900

New York, NY: Minimum Salary $235,700, Maximum Salary $397,900

Washington: Minimum Salary $235,700, Maximum Salary $397,900

#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.

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Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits.

Time Off and Paid Leave

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

Based on full-time schedule

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 restrictions-including disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice President-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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