Attorney - Wealth Management Litigation Responsibilities: Handle a docket of arbitrations, civil litigations, and regulatory enforcement investigations and inquiries for its Wealth Management business. 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. Trial work on behalf of the firm and its employees defending customer claims before FINRA and state and federal courts. Arbitration, dispute resolution, and negotiation. 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; providing information to senior management. Internal and external regulatory reporting. Providing legal advice on ad hoc matters.
Qualifications: 4-8 years of litigation experience in a law firm, government role, or in-house position. Experience defending claims in trial and/or arbitration and handling regulatory enforcement matters is essential. Trial, arbitration, and/or extensive hearing experience. Strong oral and written advocacy skills. Strategic thinker and problem solver. Tenacious and analytical and a skilled and persuasive negotiator. Strong interpersonal skills. Ability to work with clients and colleagues at every level. Detail-oriented and organized with strong time and case management skills. Strong oral and written advocacy, analytical skills, creativity, and the ability to communicate effectively with clients, colleagues, arbitrators, and regulators. Ability to handle a large volume of diverse matters with minimal support and direction. Self-motivated. Ability to work independently.
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