The Appellate Director works under the Vice President, Litigation to manage and execute the Enforcement Department’s national appellate program.
Essential Job Functions:
As subject matter expert, responsible for managing Enforcement’s appellate program, including representing Enforcement in all appeals before the National Adjudicatory Council and overseeing Enforcement attorneys responsible for briefing or arguing appeals.
Independently conducts research and prepares appellate briefs that require minimal editing; reviews and edits appellate briefs drafted by other Enforcement attorneys.
Collaborate with the Vice President, Litigation, Chief Counsels, Senior Directors, Directors and attorneys across the department to discuss assignments and ensure the efficient, timely and effective execution of all appeals.
Coach and advise attorneys across Enforcement on the appellate process and forum, brief writing and oral advocacy; conduct moots to ensure attorneys are fully prepared for oral argument.
Review all hearing panel decisions and, after consulting with the trial team and Chief Counsels and Directors, advise the Vice President, Litigation and department executive management about whether or not Enforcement should appeal the decision.
Recommend and develop policies and procedures regarding appeals.
Determine the need to revise the department’s litigation practices as a result of important appellate decisions.
Direct and train litigation attorneys on the revised litigation practices.
Recommend and develop, in conjunction with the Vice President, Litigation, training on briefing and arguing appeals and creating a strong hearing record in anticipation of appeal.
Communicate important, novel or noteworthy findings or sanctions in NAC decisions to Enforcement executive management and department-wide staff.
Provide up-to-date information to Vice President, Litigation on appellate docket.
Track and monitor the progress of all appeals to ensure deadlines are met so as not to jeopardize Enforcement’s appeals.
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.
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In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.
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A minimum of 10 years of experience with demonstrated ability to handle all phases of appeals.
Superior knowledge of trial techniques, federal securities laws, Federal Rules of Evidence, and Federal Rules of Civil Procedure.
Excellent research, writing, analytical, organizational and time management skills.
Excellent interpersonal, written and oral communications skills.
Excellent coaching and collaboration skills
Ability to influence using expertise in appeals
Work outside of business hours and some overnight travel will be required.
To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.
FINRA is a private corporation that acts as a self-regulatory organization (SRO). FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD) and the member regulation, enforcement, and arbitration operations of the New York Stock Exchange.