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Sr. Counsel

El Segundo, CA
Full Time
03-08-2021
Practice Areas: FINRA Arbitrations, Securities Regulatory Job #: 2101G Exp.: 7+ Years
Description:
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:
  • J.D. degree
  • 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

Our top performers share the following traits:
  • Highly motivated
  • Excellent writing skills

Attention to detail:
  • Ability to multi-task
  • Ability to think strategically
  • Team player





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