Date Posted:
May 20, 2026
Position Title:
Senior Litigation Counsel, Securities Enforcement Adjudication
Office/Company:
FINRA
Party:
N/A
Office Code:
Job Number:
HC-07005
Reports To:
Location:
Washington, DC
Contact:
Salary:
Minimum $199,994 – Maximum $299,990
Primary Role
Secondary Role:
Job Type:
Full Time
Description:
The Assistant Special Counsel in the Office of Hearing Officers performs a variety of specific duties, generally applying advanced analytical skills to provide effective legal support to FINRA Hearing Officers in connection with the adjudication of disciplinary proceedings.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.A law degree and appropriate licensure to practice law in all applicable jurisdictions based on relevant licensing requirements.
Responsibilities:
• 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.
Qualifications:
• A law degree and appropriate licensure to practice law in all applicable jurisdictions based on 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.
Instructions:
Email to apply
Other:
FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures.
