Associate Director, Appellate Legal Support

FINRA • Full-time • Washington, DC (1700K) • 1w ago

The Associate Director, Appellate Legal Support, oversees a team of case administrators and paralegals and supports the achievement of high-quality legal support for FINRA’s appeal process for disciplinary cases and non-disciplinary matters before the National Adjudicatory Council (NAC) and the UPC Committee, and for the Appellate Group’s representation of FINRA before the SEC in appeals from FINRA’s regulatory actions. The role requires substantial knowledge and analytical skills regarding rules, regulations, and procedures; expertise in case and docket management, quality assurance, staff development and training; development and administration of internal policies and procedures, and ability to manage and strengthen legal support processes.

Essential Job functions:

Manage and directly engage in the workflow of case administrators/paralegals in the administration of the appellate case docket, preparing necessary materials and documents in support of the appellate process, coordinating distribution of adjudicatory decisions to appropriate partes, the public, and legal database vendors, and providing support and assistance to staff attorneys and the NAC.
Ensure the quality of legal support services and assist with complex and novel scenarios. Perform and supervise the performance of thorough legal analysis and sophisticated research of issues raised under federal securities regulations, FINRA rules, and other relevant market rules.
Provide effective team leadership to foster a productive, collaborative and engaged work environment. Develop and implement targeted training and cross-training programs to ensure consistent coverage of critical programs and functions.
Conduct and supervise the development of reports and exhibits for FINRA departments, senior management, and FINRA Board and committees. Conduct proactive data analysis and reporting of program performance to facilitate information sharing and inform decision making.
Oversee information and document management processes to ensure accurate, timely and comprehensive maintenance of systems of record. Oversee ongoing enhancements to the Appellate group’s systems and processes to increase effectiveness and efficiency of business operations.
Lead the development and maintenance of the Appellate group’s policies and procedures. Serve as department Records Manager in accordance with the Enterprise Records Program. Develop effective training and communication to ensure staff compliance with department and enterprise policies and procedures.
Participate in strategic planning and annual budgeting activities for the Appellate group. Track operational measurements and achievement of objectives and key results. Assess staffing needs based on future priorities and projections.
Represent the Appellate group in cross-departmental initiatives, committees, and working groups. Act as liaison with other departments and external organizations and vendors as needed.

Education/Experience Requirements:

Bachelors Degree, paralegal certificate, and a minimum of eight years of paralegal experience; or an equivalent combination of education and experience. Five years’ experience supervising a large docket is preferred.
Law degree, advanced business degree, or other graduate degree preferred.
Knowledge of, and experience with, the functions of the U.S. markets, the broker-dealer industry, FINRA and SEC rulemaking processes, as well as familiarity with the broader landscape of financial regulation. Advanced knowledge of FINRA procedures preferred.
Excellent verbal and written skills required.
Excellent interpersonal skills.
Proven record of project management, team leadership, and goal attainment skills.
Proficiency in Microsoft Office suite of applications, Lexis and Westlaw; experience with document management software and case management systems preferred.

Working Conditions:

Hybrid work environment (remote/in office).
Occasional travel and extended hours may be required.

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

CA: Minimum Salary $128,000, Maximum Salary $242,600

CO/HI/MN/VT*: Minimum Salary $111,400, Maximum Salary $202,100

IL*: Minimum Salary $122,800, Maximum Salary $222,400
Jersey City, NJ/NYC, NY: Minimum Salary $133,700, Maximum Salary $242,600

MA/WA: Minimum Salary $111,400, Maximum Salary $232,500

MD/Washington, DC: Minimum Salary $128,000, Maximum Salary $232,500

NJ State: Minimum Salary $122,800, Maximum $242,600

NY State: Minimum Salary $111,400, Maximum Salary $242,600

*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 www.finra.org/careers 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 FINRA's Employee Relations team at 240.386.4865 or by email atEmployeeRelations@finra.org.Please 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

FINRA’s 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 Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by 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 FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s 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 FINRA's Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. Please 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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