Attorney - Retail Litigation Responsibilities: Trial work on behalf of the firm and its employees defending customer claims before FINRA Dispute Resolution Arbitration Panels. Evaluation and resolution of customer disputes and other litigation matters. Handling SEC, FINRA and State regulatory investigation and enforcement matters. Handling court litigation; internal reporting on lessons learned from matters handled; and providing information internal and external regulatory reporting. Providing legal advice on ad hoc matters. The candidate also will need to work collaboratively with other litigation attorneys, paralegals and support staff in San Francisco and with employees in other parts of the firm. Travel required depending on case assignments and hearing locations.
Qualifications: JD Degree., 8-12 years of experience, wanted for in-house position with a financial services firm to handle a docket of arbitrations, civil litigations and regulatory enforcement investigations and inquiries. Strong oral and written advocacy, analytical skills, creativity and the ability to communicate effectively with clients and colleagues as a majority of cases are handled in-house. Must be able to personally manage a large volume of diverse matters, including trial work before FINRA Dispute Resolution; regulatory enforcement matters and investigations conducted by the SEC, FINRA and State Regulators; and occasional handling of court matters. Experience defending claims in trial and/or arbitration and handling regulatory enforcement matters is essential. Must have trial, arbitration and/or extensive hearing experience. Must be able to handle a large volume of diverse matters with minimal support and direction. Must be self-motivated and able to work independently, as most matters are staffed with one lawyer. Strong oral and written advocacy skills. Strategic thinker and problem solver. Tenacious and analytical. Skilled and persuasive negotiator. Strong interpersonal skills with an ability to work with clients and colleagues at every level. Detail-oriented and organized with strong time and case management systems.
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