You are viewing a preview of this job. Log in or register to view more details about this job.

Assistant General Counsel, Labor & Employment

Financial Industry Regulatory Authority (FINRA)

The Assistant General Counsel, Labor & Employment provides strategic legal advice to the company on labor and employment matters, including but not limited to, compliance obligations under federal, state, and local laws, threatened or pending legal claims or litigation, agency investigations, internal investigations, personnel matters, and company policies, processes, and procedures. This is senior–level legal work in which the incumbent is responsible for risk mitigation, assisting with or conducting sensitive internal investigations, advising on sensitive personnel matters, and working with senior management and representatives of People Solutions. It requires subject matter expertise of labor and employment laws and regulations, as well as the application of legal and business judgment to provide effective legal advice. This position directly supports the Associate General Counsel, Labor & Employment in working with senior leadership and management to address challenging and sensitive personnel issues and practices.

Essential Job Functions:

Provide strategic legal advice to FINRA on labor and employment matters, such as personnel matters, disciplinary actions, and employment decisions, as well as compliance obligations under federal, state, and local laws
Conduct and assist in FINRA internal investigations, in collaboration with applicable departments, and advise on employee relations issues and complaints
Represent FINRA in legal proceedings before administrative agencies related to labor and employment matters
Represent FINRA in pre-litigation claims arising under labor and employment laws, including responding to demand letters and negotiating settlements or resolutions with opposing counsel
Actively manage and provide strategic direction and supervision to partner-level attorneys at outside law firms and their associated legal teams in investigations, litigation, and resolution of labor and employment matters
Identify policy, procedure, or process issues and/or opportunities for improvement, as well as recommend and take appropriate actions to address them, including without limitation developing, drafting, and/or revising policies, procedures, and processes
Drafts and advises on the content of confidential documents relating to employment matters, including employment agreements, severance agreements, and consulting agreements

Other Responsibilities:

Collaborates with People Solutions leadership to coordinate and align human resources-related initiatives
Maintains current substantive knowledge and proactively updates People Solutions and other clients on relevant legislative and regulatory developments and best practices
Develops subject-matter expertise on company policies and procedures and delivers training for managers and individual contributors on a variety of employment law topics
Performs other legal duties as appropriate and assigned
Provides suggestions to increase efficiency and effectiveness of the team and function

Education/Experience Requirements:

Juris Doctorate (J.D.) and a minimum of eight (8) years of practicing law
Must be licensed to practice law in the state in which they will be working
Ability to effectively balance competing priorities and time demands
Significant subject matter expertise in federal, state, and local, labor and employment laws and a minimum of six (6) years of practice in labor & employment law
Advanced and excellent written and verbal communication skills
Advanced and excellent judgment and interpersonal skills
Advanced and excellent organizational and investigatory skills

Working Conditions:

Hybrid work environment (remote/office) Work outside of and in addition to core hours may be required
Occasional travel may be required

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

CA: Minimum Salary $146,200, Maximum Salary $296,100

CO/HI/MN/VT*: Minimum Salary $127,300, Maximum Salary $246,600

IL*: Minimum Salary $139,800, Maximum Salary $271,400

Jersey City, NJ/NY, NY: Minimum Salary $152,700, Maximum Salary $296,100

MD/Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800

WA: Minimum Salary $127,300, Maximum Salary $283,800

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

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.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations.

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.