Project Manager, Litigation Support, Enforcement

Financial Industry Regulatory Authority, Inc.

The Project Manager, Litigation Support will provide investigation, technical, and e-discovery support for Enforcement reviews and investigations, and specialized litigation support to Enforcement litigation staff. This role is part of Enforcement Investigations’ Forensic Investigations and Litigation Support Team (“FILS”).

Essential Job Functions:

  • The Project Manager, Litigation Support will provide technical and e-discovery support for Enforcement investigations and litigations, and will serve as a technical resource for special technology projects involving litigation support and analytic investigation tools.
  • This person will be expected to demonstrate proficiency in the use of the e-discovery tools(s) in use and other Enforcement litigation technologies and applications, and this person will adhere to all established departmental policies and procedures. 
  • He or she will act as a project manager on assigned cases and will apply good judgment, good decision-making, and effective project management practices, such as being proactive and engaged with each assigned team by checking in regularly to assess current needs and issues, and clearly communicating options for deadlines and the progress of litigation projects to the litigation teams.  
  • He or she will assist in setting up and breaking down hearing rooms and will provide electronic presentation and technical support to litigation teams at FINRA disciplinary hearings. 
  • This person will communicate effectively and frequently with teams, management, and FILS staff and will contribute to Enforcement’s mission through special projects, new ideas, unique roles, and/or community involvement.

Will also assist with the following:

  • Design and preparation of electronic exhibits, assisting in the administration of litigation hardware and software for a staff of over 300 at 15 locations, utilizing certain investigative software programs, and assisting in keeping Enforcement staff informed about e-discovery and litigation support issues.

Education/Experience Requirements:

  • Bachelor’s degree in Business (preferably Finance or Accounting), Information Systems, or Computer Science, or equivalent work experience, and a minimum of five years of relevant work experience. 
  • Requires demonstrated experience in databases, networking fundamentals, litigation support technology, and Microsoft Office applications.  Knowledge of one or more of the following is a definite plus: .NET, Concordance, Sanction, Relativity, Axcelerate.
  •   Investigative experience or experience in audit or legal environments is preferred.

Work Conditions:

  • Work is primarily performed in a business office setting.
  •   Duties may require occasional lifting and moving of computer hardware and monitors. 
  • Duties will require occasional travel.

For work that is performed in CA, Washington, DC, CO, HI, New York, NY 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.

California: Minimum Salary $91,500, Maximum Salary $170,900

Washington, DC: Minimum Salary $91,500, Maximum Salary $163,700
Colorado/Hawaii: Minimum Salary $79,500, Maximum Salary $142,300
New York, NY: Minimum Salary $95,400, Maximum Salary $170,900
Washington State: Minimum Salary $79,500, Maximum Salary $163,700

#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. 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 and many other benefits. 

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 (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.

©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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