FINRA
Overview
The Counsel for Discovery & Litigation is responsible for handling the docket of information requests received by FINRA, its officers, and its employees, including third-party subpoenas issued in arbitration proceedings, and civil and criminal litigation cases. The Counsel exercises legal judgment under limited supervision to respond to information requests, preserve privileges, and protect the confidentiality of FINRA information. 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. Salary and Benefits (Location-based)
For work performed in CA, CO, IL, Jersey City, NJ, New York City, NY, MA, MD, Washington, DC, NJ State and NY State, refer to the salary range chart for the corresponding location. Actual compensation is based on factors including but not limited to candidate’s skill set, level of experience, education, and internal peer compensation comparisons. Salary ranges vary by location and may include minimum and maximum figures per location. CA: Minimum Salary $109,600, Maximum Salary $206,200 CO: Minimum Salary $95,300, Maximum Salary $171,800 IL: Minimum Salary $104,900, Maximum Salary $189,400 Jersey City, NJ/NYC, NY: Minimum Salary $114,300, Maximum Salary $206,200 MA: Minimum Salary $95,300, Maximum Salary $197,600 MD/Washington, DC: Minimum Salary $109,600, Maximum Salary $197,600 NJ State: Minimum Salary $104,900, Maximum Salary $206,200 NY State: Minimum Salary $95,300, Maximum Salary $206,200 *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 Application Process & Important Information
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis. The information above indicates the general nature and level of work of the position and is not a comprehensive inventory of all duties, responsibilities and qualifications required. If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly. FINRA strives to make its career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. 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. FINRA provides comprehensive health, dental and vision insurance, life, disability, retirement plans, and other benefits. FINRA offers 401(k) with company match, tuition reimbursement, commuter benefits, adoption assistance, and wellness programs. Time Off and Paid Leave: FINRA provides paid time off, personal days, sick days, volunteer days, and various leaves, with full-time employees receiving nine paid holidays. This information is based on full-time schedule. FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires disclosures related to brokerage accounts. Employees must disclose all brokerage accounts and may need to move accounts to firms providing an electronic feed (e-feed) to FINRA. Further details are available on the FINRA site. 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 complies with disability and veteran status regulations. 2025 FINRA. All rights reserved. Search firm representatives: FINRA is not seeking unsolicited resumes and requires a valid written agreement and task order before submitting resumes. Resumes submitted without an agreement will be the property of FINRA.
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The Counsel for Discovery & Litigation is responsible for handling the docket of information requests received by FINRA, its officers, and its employees, including third-party subpoenas issued in arbitration proceedings, and civil and criminal litigation cases. The Counsel exercises legal judgment under limited supervision to respond to information requests, preserve privileges, and protect the confidentiality of FINRA information. 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. Salary and Benefits (Location-based)
For work performed in CA, CO, IL, Jersey City, NJ, New York City, NY, MA, MD, Washington, DC, NJ State and NY State, refer to the salary range chart for the corresponding location. Actual compensation is based on factors including but not limited to candidate’s skill set, level of experience, education, and internal peer compensation comparisons. Salary ranges vary by location and may include minimum and maximum figures per location. CA: Minimum Salary $109,600, Maximum Salary $206,200 CO: Minimum Salary $95,300, Maximum Salary $171,800 IL: Minimum Salary $104,900, Maximum Salary $189,400 Jersey City, NJ/NYC, NY: Minimum Salary $114,300, Maximum Salary $206,200 MA: Minimum Salary $95,300, Maximum Salary $197,600 MD/Washington, DC: Minimum Salary $109,600, Maximum Salary $197,600 NJ State: Minimum Salary $104,900, Maximum Salary $206,200 NY State: Minimum Salary $95,300, Maximum Salary $206,200 *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 Application Process & Important Information
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis. The information above indicates the general nature and level of work of the position and is not a comprehensive inventory of all duties, responsibilities and qualifications required. If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly. FINRA strives to make its career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. 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. FINRA provides comprehensive health, dental and vision insurance, life, disability, retirement plans, and other benefits. FINRA offers 401(k) with company match, tuition reimbursement, commuter benefits, adoption assistance, and wellness programs. Time Off and Paid Leave: FINRA provides paid time off, personal days, sick days, volunteer days, and various leaves, with full-time employees receiving nine paid holidays. This information is based on full-time schedule. FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires disclosures related to brokerage accounts. Employees must disclose all brokerage accounts and may need to move accounts to firms providing an electronic feed (e-feed) to FINRA. Further details are available on the FINRA site. 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 complies with disability and veteran status regulations. 2025 FINRA. All rights reserved. Search firm representatives: FINRA is not seeking unsolicited resumes and requires a valid written agreement and task order before submitting resumes. Resumes submitted without an agreement will be the property of FINRA.
#J-18808-Ljbffr