Current jobs related to Senior Litigation Counsel, Enforcement - Boca Raton - finra

  • Senior Litigation Attorney

    2 weeks ago

    Boca Raton, Florida, United States FutureRecruit Full time

    Job SummaryWe are seeking a highly skilled Senior Litigation Attorney to join our team at FutureRecruit. As a Senior Litigation Attorney, you will be responsible for representing clients in personal injury cases, preparing for and trying jury trials, and working closely with a team of legal assistants.Key ResponsibilitiesRepresent clients in personal injury...

  • Senior Litigation Attorney

    2 weeks ago

    Boca Raton, Florida, United States Stealth Recruiting Services Full time

    Senior Litigation AttorneyStealth Recruiting Services is seeking a highly motivated and passionate Senior Litigation Attorney to join our team in Boca Raton, FL. As a key member of our team, you will be responsible for meeting with clients, demonstrating empathy and compassion, and earning their trust and confidence.Key Responsibilities:Meet with clients to...

  • Senior Litigation Attorney

    7 days ago

    Boca Raton, Florida, United States Stealth Recruiting Services Full time

    Job Title: Senior Litigation AttorneyJob Summary:We are seeking a highly motivated and passionate Senior Litigation Attorney to join our team at Stealth Recruiting Services. As a Senior Litigation Attorney, you will be responsible for meeting with clients to discuss their case, showing compassion and empathy, and demonstrating an ability to earn their trust,...

  • Senior Litigation Attorney

    2 weeks ago

    Boca Raton, Florida, United States Stealth Recruiting Services Full time

    Job Title: Senior Litigation AttorneyJob Summary:We are seeking a highly motivated and passionate Senior Litigation Attorney to join our team in Boca Raton, FL. As a Senior Litigation Attorney, you will be responsible for meeting with clients to discuss their case, showing compassion and empathy, and demonstrating an ability to earn their trust, confidence,...

  • Senior Litigation Attorney

    3 weeks ago

    Boca Raton, Florida, United States Stealth Recruiting Services Full time

    Senior Litigation AttorneyStealth Recruiting Services is seeking a highly motivated and passionate Senior Litigation Attorney to join their team in Boca Raton, FL. As a key member of our team, you will be responsible for meeting with clients to discuss their cases, providing updates, and communicating with insurance companies.Key Responsibilities:Meet with...

  • Senior Litigation Attorney

    2 weeks ago

    Boca Raton, Florida, United States The Berman Law Group Full time

    Job DescriptionJob Title: Senior Litigation Attorney (Personal Injury)Location: Boca Raton, FLExperience: First to 3 yearsAbout The Berman Law Group:We are a prestigious national law firm committed to excellence in legal services. Our Complex Litigation department is expanding, and we are seeking a motivated and detail-oriented Senior Litigation Attorney to...

  • Senior Associate General Counsel

    3 weeks ago

    Boca Raton, Florida, United States Integrated Dermatology Full time

    Job Title: Senior Associate General CounselIntegrated Dermatology is seeking a highly skilled and experienced Senior Associate General Counsel to join our team. As a key member of our legal department, you will play a critical role in providing legal support and guidance to the organization.Key Responsibilities:Provide timely and practical legal advice to...

  • Litigation Associate

    2 months ago

    boca raton, United States Distinct | North America Full time

    We are seeking a skilled and motivated Litigation Associate to join our legal team. As a Litigation Associate, you will be responsible for assisting with various aspects of litigation cases, including legal research, drafting legal documents, and representing clients in court. This is an excellent opportunity for someone with a passion for law and a desire...

  • Litigation Associate

    1 month ago

    Boca Raton, United States Distinct | North America Full time

    We are seeking a skilled and motivated Litigation Associate to join our legal team. As a Litigation Associate, you will be responsible for assisting with various aspects of litigation cases, including legal research, drafting legal documents, and representing clients in court. This is an excellent opportunity for someone with a passion for law and a desire...

  • Litigation Attorney

    3 weeks ago

    Boca Raton, Florida, United States Distinct | North America Full time

    Distinct | North America Litigation Associate Job DescriptionWe are seeking a skilled and motivated Litigation Associate to join our legal team at Distinct | North America. As a Litigation Associate, you will be responsible for assisting with various aspects of litigation cases, including legal research, drafting legal documents, and representing clients in...

  • Litigation Associate

    2 months ago

    boca raton, United States Distinct | North America Full time

    We are seeking a skilled and motivated Litigation Associate to join our legal team. As a Litigation Associate, you will be responsible for assisting with various aspects of litigation cases, including legal research, drafting legal documents, and representing clients in court. This is an excellent opportunity for someone with a passion for law and a desire...

  • Litigation Associate

    3 months ago

    Boca Raton, United States Distinct | North America Full time

    We are seeking a skilled and motivated Litigation Associate to join our legal team. As a Litigation Associate, you will be responsible for assisting with various aspects of litigation cases, including legal research, drafting legal documents, and representing clients in court. This is an excellent opportunity for someone with a passion for law and a desire...

  • Litigation Associate

    3 months ago

    Boca Raton, United States Distinct | North America Full time

    We are seeking a skilled and motivated Litigation Associate to join our legal team. As a Litigation Associate, you will be responsible for assisting with various aspects of litigation cases, including legal research, drafting legal documents, and representing clients in court. This is an excellent opportunity for someone with a passion for law and a desire...

  • Litigation Associate

    4 weeks ago

    Boca Raton, Florida, United States Distinct | North America Full time

    Job Title: Litigation AssociateWe are seeking a skilled and motivated Litigation Associate to join our legal team at Distinct | North America. As a Litigation Associate, you will be responsible for assisting with various aspects of litigation cases, including legal research, drafting legal documents, and representing clients in court.Responsibilities:Conduct...

  • Senior Litigation Attorney

    7 days ago

    Boca Raton, Florida, United States NPAworldwide Full time

    Job Title: Senior Litigation AttorneyJob Summary: We are seeking a highly motivated and passionate Senior Litigation Attorney to join our team in Boca Raton, FL.Key Responsibilities:Meet with clients to discuss their case and provide updates on the status of claims, demands, and offers.Communicate with insurance companies regarding the status of claims and...

  • Senior Litigation Attorney

    2 weeks ago

    Boca Raton, Florida, United States Stealth Recruiting Services Full time

    Job OpportunityWe are seeking a highly motivated and passionate Personal Injury Litigation Attorney to join our team in Boca Raton, FL. As a Senior Litigation Attorney, you will be responsible for meeting with clients, providing updates, and communicating with insurance companies.Key ResponsibilitiesMeet with clients to discuss their case and provide...

  • Senior Litigation Attorney

    2 weeks ago

    Boca Raton, Florida, United States NPAworldwide Full time

    Job Title: Senior Litigation AttorneyJob Summary: We are seeking a highly motivated and passionate Personal Injury Litigation Attorney to join our team in Boca Raton, FL.Key Responsibilities:Meet with clients to discuss their case and provide updates on the status of claims, demands, and offers.Communicate with insurance companies and demonstrate an ability...

  • Litigation Associate

    3 weeks ago

    Boca Raton, Florida, United States Beller Smith, P.L. Full time

    Job Title: Litigation AssociateCompany Overview: Beller Smith, P.L. is a high-end boutique firm seeking a dedicated litigation associate to join our team.Job Summary: We are looking for a talented litigation associate with a passion for trust and estate litigation to work closely with our nationally recognized senior partner. The ideal candidate will have 2+...

  • Litigation Associate

    2 weeks ago

    Boca Raton, Florida, United States Beller Smith, P.L. Full time

    Job Title: Litigation AssociateCompany Overview: Beller Smith, P.L. is a high-end boutique firm seeking a dedicated litigation associate to join our team.Job Summary: We are looking for a superstar litigation associate with a passion for excellence to handle high-end cases in trust and estate litigation. The ideal candidate will have 2+ years of litigation...

  • Senior Associate General Counsel

    2 weeks ago

    Boca Raton, Florida, United States Integrated Dermatology Full time

    Job Title: Senior Associate General CounselIntegrated Dermatology is seeking a highly skilled and experienced Senior Associate General Counsel to join our team. As a key member of our legal department, you will play a critical role in providing legal support and guidance to the organization.Key Responsibilities:Provide timely and practical legal advice to...

Senior Litigation Counsel, Enforcement

4 months ago

Boca Raton, United States finra Full time

The Senior Litigation Counsel works under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC).

Essential Job Functions:

  • Represent FINRA in a first or second chair capacity in complex disciplinary proceedings involving violations of the federal securities laws, FINRA and NASD Rules, Municipal Securities Rulemaking Board (MSRB) rules, and other self-regulatory organization (SRO) rules.
  • Represent FINRA in a first chair capacity in non-disciplinary hearings and litigation arising out of expedited proceedings, statutory disqualification decisions, membership application decisions, and exemption/waiver decisions.
  • Represent FINRA in appeals before the National Adjudicatory Council; draft appellate briefs and argue appeals as needed.
  • Provide guidance and advice to Member Supervision and the Member Application Program on issues of statutory disqualification, member application denials, and waiver/exemption requests.
  • Draft, review and/or finalize complaints and other legal documents, including motions and responses thereto, exhibit and witness lists, and pre- and post-hearing briefs.
  • Be an active participant and coach in litigations. Advise on litigation strategy and the effective use of evidence; deliver and coach staff to deliver opening and closing statements; and conduct and coach staff to conduct direct and cross examinations of hearing witnesses. 
  • Oversee all pre-hearing tasks, including ensuring the timely and complete production of discovery, drafting and arguing motions, collecting and preparing hearing exhibits, and conducting witness prep.
  • Ensure that team members are adequately prepared for hearing; conduct moot sessions and provide feedback to team members on witness prep, witness examination outlines, and work product.
  • Conduct litigation consults, including consulting with staff and managers on charging issues, legal theories, litigation strategy, pleading style, evidentiary issues, litigation risks, and sanctions.
  • Counsel staff on concerns or needs related to any potential litigation, such as required witness testimony, use of transcripts in lieu of testimony, evidence related to sanctions, defenses to mitigation, expert testimony, and summary exhibits.
  • Independently conduct legal research, and prepare clear and concise advocacy documents that require minimal editing.
  • Negotiate settlements with respondents and their attorneys and review and prepare Offers of Settlement.
  • Recommend and deliver content for litigation training as requested. 
  • Effectively collaborate with available staff across FINRA as appropriate (Enforcement investigative staff, Member Supervision, Member Application Program, Market Regulation, Office of General Counsel).

Other Responsibilities:

  • Work on special projects as assigned.

Education/Experience Requirements:

  • Law degree and admission to the bar.
  • A minimum of 10 years of litigation experience with demonstrated ability to administer and try complex securities cases.  
  • First-chair trial experience.  
  • Excellent litigation, oral and written communication skills.
  • Comprehensive knowledge of trial techniques, federal securities laws, Federal Rules of Evidence, and Federal Rules of Civil Procedure.
  • Excellent interpersonal and organizational skills.

Work Conditions:

  • Work outside of business hours and overnight travel will be 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 $146,200, Maximum Salary $296,100

Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800

Colorado/Hawaii: Minimum Salary $127,300, Maximum Salary $246,600

New York, NY: Minimum Salary $152,700, Maximum Salary $296,100

Washington: Minimum Salary $127,300, Maximum Salary $283,800

#LI-Hybrid