Associate Director, Appellate Legal Support

The Associate Director, Appellate Legal Support, oversees a team of case administrators and paralegals and supports the achievement of high-quality legal support for FINRA’s appeal process for disciplinary cases and non-disciplinary matters before the National Adjudicatory Council (NAC) and the UPC Committee, and for the Appellate Group’s representation of FINRA before the SEC in appeals from FINRA’s regulatory actions. The role requires substantial knowledge and analytical skills regarding rules, regulations, and procedures; expertise in case and docket management, quality assurance, staff development and training; development and administration of internal policies and procedures, and ability to manage and strengthen legal support processes.

Essential Job functions:

• Manage and directly engage in the workflow of case administrators/paralegals in the administration of the appellate case docket, preparing necessary materials and documents in support of the appellate process, coordinating distribution of adjudicatory decisions to appropriate partes, the public, and legal database vendors, and providing support and assistance to staff attorneys and the NAC. 
• Ensure the quality of legal support services and assist with complex and novel scenarios.  Perform and supervise the performance of thorough legal analysis and sophisticated research of issues raised under federal securities regulations, FINRA rules, and other relevant market rules.
• Provide effective team leadership to foster a productive, collaborative and engaged work environment.  Develop and implement targeted training and cross-training programs to ensure consistent coverage of critical programs and functions.
• Conduct and supervise the development of reports and exhibits for FINRA departments, senior management, and FINRA Board and committees.  Conduct proactive data analysis and reporting of program performance to facilitate information sharing and inform decision making.
• Oversee information and document management processes to ensure accurate, timely and comprehensive maintenance of systems of record.  Oversee ongoing enhancements to the Appellate group’s systems and processes to increase effectiveness and efficiency of business operations.
• Lead the development and maintenance of the Appellate group’s policies and procedures.  Serve as department Records Manager in accordance with the Enterprise Records Program.  Develop effective training and communication to ensure staff compliance with department and enterprise policies and procedures.
• Participate in strategic planning and annual budgeting activities for the Appellate group.  Track operational measurements and achievement of objectives and key results.  Assess staffing needs based on future priorities and projections.
• Represent the Appellate group in cross-departmental initiatives, committees, and working groups.  Act as liaison with other departments and external organizations and vendors as needed.

Education/Experience Requirements:

• Bachelors Degree, paralegal certificate, and a minimum of eight years of paralegal experience; or an equivalent combination of education and experience. Five years’ experience supervising a large docket is preferred.
• Law degree, advanced business degree, or other graduate degree preferred.
• Knowledge of, and experience with, the functions of the U.S. markets, the broker-dealer industry, FINRA and SEC rulemaking processes, as well as familiarity with the broader landscape of financial regulation.  Advanced knowledge of FINRA procedures preferred.
• Excellent verbal and written skills required.
• Excellent interpersonal skills.
• Proven record of project management, team leadership, and goal attainment skills.
• Proficiency in Microsoft Office suite of applications, Lexis and Westlaw; experience with document management software and case management systems preferred.   

Working Conditions:

• Hybrid work environment (remote/in office).
• Occasional travel and extended hours may be required.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the 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 $128,000, Maximum Salary $242,600

CO/HI/MN/VT*: Minimum Salary $111,400, Maximum Salary $202,100

IL*: Minimum Salary $122,800, Maximum Salary $222,400
Jersey City, NJ/NYC, NY: Minimum Salary $133,700, Maximum Salary $242,600

MA/WA: Min