Senior Special Counsel, Hearing Officer

Hearing Officers preside over formal disciplinary proceedings on a wide range of cases brought by FINRA’s Department of Enforcement against FINRA-registered firms and persons associated with FINRA-registered firms.

Hearing Officers also preside over disciplinary proceedings initiated by the New York Stock Exchange and other self-regulatory organizations against their members and associated persons.

Hearing Officers also adjudicate temporary cease and desist proceedings and a variety of other expedited proceedings against FINRA-registered firms and associated persons.

Essential Job Functions:


* Promote efficiency and fairness within the hearing process.


* Effectively preside over, and chair hearing panels at, contested hearings and pre-hearing conferences and regulate the conduct of the proceedings in accordance with applicable procedural rules.


* Ensure that FINRA provides respondents with a full and fair opportunity to defend themselves.


* Prepare timely and well-written hearing panel decisions, default decisions, orders, and expedited decisions.


* Determine whether substantive violations of the federal securities laws, rules, and regulations, FINRA rules, MSRB Rules, or the rules of other self-regulatory organizations have occurred.


* Conduct legal research and draft legally defensible findings and conclusions.


* Address procedural and substantive issues, including those that arise in more complex disciplinary proceedings (multiple respondents and multiple allegations).


* Conduct pre-hearing conferences, administer motions practice, manage development of the hearing record, and certify appellate record to the National Adjudicatory Council.


* Advise hearing panelists on issues of law and procedure.


* Maintain composure under pressure and demonstrate an ability to rule decisively on a variety of matters during hearings, pre-hearing conferences, and panel deliberations.

Other Responsibilities:


* Supervise legal assistants and administrative assistants who work within the Office of Hearing Officers.

Education/Experience Requirements:


* A law degree from an accredited school with admission to a state bar.


* 15 years of litigation experience.

Significant experience participating in formal hearings or trials, participating in litigation, and understanding administrative law is preferred.


* Proven experience in preparing legal opinions, or equivalent.


* Knowledge of federal securities laws, Securities and Exchange Commission rules and regulations, and FINRA or other self-regulatory rules.


* Experience adjudicating disciplinary proceedings involving the federal securities laws or self-regulatory rules is preferred.

Working Conditions:


* Normal office environment.


* Travel required.

For work that is performed in CA, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location.

In addition to location, act...