Counsel, Discovery & Litigation

Are you looking for purpose and meaning in your work Does the idea of working for a financial regulator speak to your moral compass

As a not-for-profit entity FINRA operates under the oversight of the SEC and sits at the nexus of broker-dealers policymakers and investors. Because of this structure FINRA is uniquely positioned to stimulate vibrant markets that protect investors ensure robust trading activity foster liquidity and support innovation and growth.

FINRA is seeking an experienced attorney to join our Discovery and Litigation team within the Office of General Counsel. The ideal candidate will have strong proficiency with Relativity e-discovery software and excel at managing the complex requirements of subpoena processing.

This position is based in either our Washington DC or Tysons Corner VA office with a hybrid work arrangement requiring in-office presence three days per week.

Essential Job Functions:

• Handles docket of information requests received by FINRA to include determining complexity of request identifying applicable objections and responding to information requests.
• Exercises strong analytical research and legal skills to assess scope of requests and to identify potentially responsive documents.
• Interprets federal state and local rules regulations and statutes governing information requests issued in legal proceedings.
• Prepares written documents related to the requests including response letters production letters and oppositions to motions to compel.
• Negotiates scope of information requests and represents FINRA in litigation matters related to information requests.
• Locates gathers reviews and prepares documents for production in response to document requests.
• Conducts legal research and prepares written work product to support legal advice provided to internal departments.
• Prepares reports and analyzes statistical data upon request.

Other Responsibilities

• Increases efficiency and effectiveness of procedures related to processing document requests.

Education/Experience Requirements:

• Law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements.
• Minimum of four years of document review or related legal work required.
• Basic knowledge of FINRA and the securities industry preferred.
• Requires understanding of the Federal Rules of Civil Procedure and demonstrates an ability to analyze and interpret other rules regulations and laws.
• Requires understanding of privileges and legal standards applicable to information requests.
• Advanced oral and written communication skills.
• Advanced competency in Relativity Adobe Microsoft Office applications and other electronic office systems.

Work Conditions:

• Work is normally performed in a hybrid environment requiring both in person attendance and remote work.
• Travel and court appearances may be required.
• Extended hours may be required upon short notice.

For work that is performed in CA CO IL Jersey City NJ New York City NY MA MD Washington DC NJ State and NY State please refer to the chart below for the salary range for the corresponding addition to location actual compensation is based on various factors including but not limited to the candidates skill set level of experience education and internal peer compensation comparisons.

CA: Minimum Salary $109600 Maximum Salary $206200

CO*: Minimum Salary $95300 Maximum Salary $171800

IL*: Minimum Salary $104900 Maximum Salary $189400

Jersey City NJ/NYC NY: Minimum Salary $114300 Maximum Salary $206200

MA: Minimum Salary $95300 Maximum Salary $197600

MD/Washington DC: Minimum Salary $109600 Maximum Salary $197600

NJ State: Minimum Salary $104900 Maximum $206200

NY State: Minimum Salary $95300 Maximum Salary $206200

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#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.

Please note: If the Apply Now button on a job board posting does not take you directly to the FINRA Careers site enter into your browser to reach our site directly.

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 FINRAs Employee Relations team at 240.386.4865 or by email atPlease note that this process is exclusively for inquiries regarding application accommodations.

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal state or local law. As part of its dedication to employee wellness 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 commuter benefits and other benefits that support employee wellness such as adoption assistance backup family care surrogacy benefits employee assistance and wellness programs.

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 unless otherwise required by law (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

FINRAs 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 Codes investment and securities account restrictions and new employees must comply with those investment restrictionsincluding disposing of any security issued by a company on FINRAs Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby 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 FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys 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 strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process please contact FINRAs Employee Relations team at 240.386.4865 or by email atPlease note that this process is exclusively for inquiries regarding application accommodations.

All qualified applicants will receive consideration for employment without regard to age citizenship status color disability marital status national origin race religion sex veteran status or any other classification protected by federal state or local laws.

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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