Assistant Special Counsel, Office of Hearing Officers

Essential Job Functions:

• Serves as a legal advisor to Hearing Officers and attends hearings and pre-hearing conferences as requested and participates in the adjudication process for disciplinary and expedited proceedings.
• Provides counsel in the determination of whether substantive violations of the federal securities laws Securities and Exchange Commission rules and regulations MSRB rules FINRA rules or other applicable self-regulatory organizations rules have occurred.
• Conducts legal research and prepares memoranda in connection with motions evidentiary issues hearings and decisions.
• Manages case life cycle and hearing process. Coordinates with OHO staff industry panelists and parties as required.
• Reviews transcripts of hearings exhibits and other evidence as well as motions and briefs filed by the parties. Outlines and summarizes the significant points involved.
• Independently drafts well-written default and expedited decisions and orders in accordance with directions from Hearing Officers. Assists Hearing Officers with the preparation of draft decisions in complex disciplinary proceedings involving multiple respondents or multiple allegations.
• Prepares legal memoranda to advise hearing panelists on issues of law and procedure compliance with FINRAs Sanction Guidelines and all other applicable legal requirements.
• Prepares and maintains policies procedures and manuals for different types of expedited and disciplinary proceedings.
• Participates in the rule-making process in connection with amendments to the Code of Procedure. Advises OHO staff and other necessary stakeholders on the impact of proposed rules and changes to procedures.
• Responsible for maintaining OHOs legal research database and updating research outlines relating to specific legal topics and sanctions.
• Develops and initiates reports and communications as needed for Chief Hearing Officer and Deputy Chief Hearing Officer.
• Demonstration of FINRAs values.
• Collaboration both in-person and virtually in furtherance of FINRAs mission of investor protection and market integrity.

Other Responsibilities:

• Provides suggestions to increase efficiency and effectiveness of office procedures.

Education/Experience Requirements:

• A law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements.

• Minimum of eight (8) years of litigation practice including courtroom experience and the handling of pretrial matters trials and appeals.

• At least one year of experience at FINRA preferred.

• Requires an understanding of applicable law current judicial interpretations and an ability to analyze and advocate orally and in writing.

• Advanced oral and written communication and litigation skills.

• Proven experience in preparing legal memoranda motions and briefs or equivalent.

• Advanced knowledge of laws rules and regulations relevant to litigation and the securities industry. Knowledge of federal securities laws Securities and Exchange Commission rules and regulations and self-regulatory rules is preferred.

Work Conditions:

• Hybrid work environment with defined in-person presence requirements.

• Travel required. Extended hours may be required.

For work that is performed in Los Angeles and San Francisco CA CO FL TX IL PA MA MD VA Washington DC NY and NJ please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the addition to location actual compensation is based on various factors including but not limited to the candidates skill set level of experience education and market considerations.

Los Angeles CA: Minimum Salary $199994 Maximum Salary $299990

San Francisco CA: Minimum Salary $200009 Maximum Salary $300013

CO/FL/TX: Minimum Salary $131100 Maximum Salary $254000

IL/PA: Minimum Salary $144000 Maximum Salary $279500

MA/MD/VA/Washington DC: Minimum Salary $150600 Maximum Salary $292300

NY/NJ: Minimum Salary $150600 Maximum Salary $305000

#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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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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