Osaic
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Litigation Counsel
role at
Osaic .
Regulatory Attorney Opportunity in Financial Services
Litigation – Counsel
Location(s):
18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255 12325 Port Grace Boulevard, La Vista, NE 68128 2300 Windy Ridge Parkway, Atlanta, GA 30339 877 Executive Center Drive West, St. Petersburg, FL 33702 7755 Third Street North, Oakdale, MN 55128
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Non‑remote employees must be willing to work this schedule.
Salary:
$140,000 - $175,000 per year + annual bonus.
Actual compensation offered will be determined individually, based on a number of job‑related factors, including location, skills, experience, and education.
Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: https://careers.osaic.com/Creative/Benefits.
Role Type:
Full time
Summary We currently have an opening for a litigation attorney to handle a personal docket of FINRA arbitration claims and to assist with overall management and administration of legal claims and issues involving our 11,000 financial professionals. This position will report directly to the Deputy General Counsel, Head of Litigation for Osaic. Individuals serving in this position will collaborate with Osaic’s team of litigators and participate in business initiatives involving litigation trends. They will also work with the Compliance and Supervision Departments on “best practices” and “lessons learned” initiatives.
Responsibilities
Independently handle all aspects of a personal docket of FINRA arbitration claims, including claim investigation, drafting pleadings, motions, discovery requests, preparing and reviewing discovery production, legal research, and trial.
Record and report on counsel’s docket of litigation and other claims against the Osaic broker‑dealers.
Administer claims and interact with our insurance carriers including claim filing, status reporting, and preparation of proofs of loss related to all insurance policies.
Administer cases placed with outside counsel.
Handle a broad variety of legal inquiries related to our 11,000 independent financial professionals.
Work in a fast‑paced, dynamic work environment requiring strong writing, communication, oral advocacy, legal and analytical skills, a creative problem‑solving approach, and the ability to multi‑task on time‑sensitive matters.
Build relationships with independent financial professionals through strong interpersonal skills.
Perform any other duties as assigned.
Education Requirements
JD degree is required.
Must be a member in good standing with the bar in the jurisdiction of employment within six months of hire.
Basic Requirements
1-5 years of experience with litigation, preferably in the FINRA arbitration forum.
Familiarity with broker‑dealers and registered investment advisers and the laws and rules that apply to these entities is required.
Preferred Requirements
Development of writing skills and/or oral advocacy in a setting such as Law Review, Moot Court or Trial Competition is preferred.
Equal Opportunity Employer Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.
Eligibility Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.
Unqualified Applications Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.
Recruiting Agencies Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.
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Litigation Counsel
role at
Osaic .
Regulatory Attorney Opportunity in Financial Services
Litigation – Counsel
Location(s):
18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255 12325 Port Grace Boulevard, La Vista, NE 68128 2300 Windy Ridge Parkway, Atlanta, GA 30339 877 Executive Center Drive West, St. Petersburg, FL 33702 7755 Third Street North, Oakdale, MN 55128
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Non‑remote employees must be willing to work this schedule.
Salary:
$140,000 - $175,000 per year + annual bonus.
Actual compensation offered will be determined individually, based on a number of job‑related factors, including location, skills, experience, and education.
Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: https://careers.osaic.com/Creative/Benefits.
Role Type:
Full time
Summary We currently have an opening for a litigation attorney to handle a personal docket of FINRA arbitration claims and to assist with overall management and administration of legal claims and issues involving our 11,000 financial professionals. This position will report directly to the Deputy General Counsel, Head of Litigation for Osaic. Individuals serving in this position will collaborate with Osaic’s team of litigators and participate in business initiatives involving litigation trends. They will also work with the Compliance and Supervision Departments on “best practices” and “lessons learned” initiatives.
Responsibilities
Independently handle all aspects of a personal docket of FINRA arbitration claims, including claim investigation, drafting pleadings, motions, discovery requests, preparing and reviewing discovery production, legal research, and trial.
Record and report on counsel’s docket of litigation and other claims against the Osaic broker‑dealers.
Administer claims and interact with our insurance carriers including claim filing, status reporting, and preparation of proofs of loss related to all insurance policies.
Administer cases placed with outside counsel.
Handle a broad variety of legal inquiries related to our 11,000 independent financial professionals.
Work in a fast‑paced, dynamic work environment requiring strong writing, communication, oral advocacy, legal and analytical skills, a creative problem‑solving approach, and the ability to multi‑task on time‑sensitive matters.
Build relationships with independent financial professionals through strong interpersonal skills.
Perform any other duties as assigned.
Education Requirements
JD degree is required.
Must be a member in good standing with the bar in the jurisdiction of employment within six months of hire.
Basic Requirements
1-5 years of experience with litigation, preferably in the FINRA arbitration forum.
Familiarity with broker‑dealers and registered investment advisers and the laws and rules that apply to these entities is required.
Preferred Requirements
Development of writing skills and/or oral advocacy in a setting such as Law Review, Moot Court or Trial Competition is preferred.
Equal Opportunity Employer Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.
Eligibility Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.
Unqualified Applications Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.
Recruiting Agencies Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.
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