FINRA Arbitrations, Securities RegulatoryJob #: 2101G Exp.: 7+ Years
What We Need: Cetera Financial Group is currently seeking a Litigation/Regulatory Enforcement Attorney for our Los Angeles, CA or New York, New York office. This is a unique opportunity to manage outside counsel and personally handle litigations, FINRA arbitrations and regulatory enforcement matters throughout the United States.
What You Will Do:
Manage outside attorneys representing Cetera Financial Group and its affiliates in arbitrations, mediations, court cases, and regulatory enforcement proceedings
Work with insurance carriers and brokers to ensure insurance coverage for cases
Handle FINRA arbitrations in house
Work with various business partners across the Cetera family of firms to mitigate risk while handling litigation and regulatory enforcement matters
Be exposed to different substantive legal areas, including broker-dealer and investment adviser law, insurance, cybersecurity, contracts, corporate governance and privacy
What You Need to Have:
7+ years of legal experience
Demonstrated ability to handle all aspects of cases (e.g., fact investigation, drafting pleadings and motions, discovery, trial assistance, etc.)
Previous experience with FINRA arbitrations and/or securities regulatory matters
Conducted or second chaired trials or hearings
Demonstrated desire to work in, quickly learn, and adapt to the financial services industry
You can find someone friendly immediately on (315) 316-1215 ( EST 9:00 to 14:00 ) or write us about your concern or suggestion at firstname.lastname@example.org and we will get back to you as soon as possible.