Client Litigation has 20 lawyers in three states. The New York Unit has five lawyers and covers the Northeast, Mid-Atlantic and Midwest areas.
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-Handling SEC, FINRA and State regulatory matters, both as lead counsel and by supervising outside counsel.
-Trial work defending the firm in customer arbitrations before FINRA..
-Advising and evaluating pre-litigation matters.
-Internal reporting on matters handled.
-Providing information for internal and external regulatory reporting.
- Working collaboratively with other litigation attorneys, paralegals and support staff in NY and elsewhere; working with Compliance, Risk and the business in remediating issues and devising improved processes.
QUALIFICATIONS
Skills required (essential)
-Regulatory and Litigation attorney, with 10-15 years of experience, wanted for a position as regulatory counsel and trial lawyer.
-Candidates must have experience handling regulatory investigations and representing clients before regulatory agencies such as the SEC and FINRA.
-Candidates must have trial experience; be able to handle a large volume of diverse matters.
-Be self-motivated and able to work independently, as most matters are staffed with one lawyer.
-Licensed as a NYS Lawyer.
-Education level - Juris Doctor
Skills desired
- Extensive FINRA or SEC experience is desired, especially in matters that require amassing data in response to broad and deep regulatory requests.
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