The retail brokerage and institutional businesses litigation team is responsible for litigation, regulatory investigations, enforcement proceedings and internal reviews involving Fidelity’s retail customer brokerage businesses, as well as disputes involving its institutional intermediary businesses. This position currently requires on-site attendance every other week for five days, and in-office attendance on the non-on-site weeks as necessary (although attendance requirements could change in the future).
The Expertise You Have
• J.D with six-plus years as a practicing litigation attorney, with significant experience representing broker-dealers in a variety of contexts, including FINRA arbitrations, State and Federal court proceedings, FINRA, SEC and state regulatory investigations, and internal investigations.
• Law firm experience required. In-house legal, corporate and/or government experience is ideal.
• Experience working with corporate control functions, such as compliance, risk, internal audit and cyber security.
• Experience providing risk-based legal advice for business initiatives is useful.
• Solid understanding of the brokerage industry and products and processes typical of a retail brokerage account. It is useful, though not necessary, to have experience with institutional intermediary businesses, such as registered investment advisors and correspondent firms.
• Experience having responsibility for directing and being accountable for matters.
The Skills You Bring
• You have the ability to work in a dynamic environment that requires you to balance multiple, competing tasks simultaneously, often transitioning between multiple subject matters daily.
• You are able to work in a team context, managing various views and developing consensus; and you have the ability to build relationships with a range of lawyers and non-lawyers across the company.
• You are highly organized, ambitious and self-directed, but comfortable with reporting lines that require obtaining approvals and agreements from numerous constituents.
• You possess strong communications and presentation skills, including the ability to communicate complex legal concepts clearly and efficiently to non-lawyers.
• You have excellent writing and analytical skills.
• You have the ability to try cases in FINRA arbitration hearings, and negotiate directly with regulatory enforcement divisions.
The Value You Deliver
• Leading teams comprised of in-house lawyers and staff, outside counsel, consultants, and other resources to achieve favorable resolutions of legal, regulatory and enforcement matters.
• Coordinating strategy and communications among the Legal Department, Businesses, Senior Management, and other relevant partners (e.g., risk, compliance, finance, communications).