Description

Our client is a non-profit organization based in Washington DC that is expanding their team. The company is specifically looking for an attorney with substantive financial and/or SEC experience to help lead their adjudication department and provide counsel/advice to the organization's disciplinary and ethics commission.

Responsibilities:

• Ensures enforcement matters are reviewed or heard and resolved in accordance with the Procedural Rules,

• Manages, reviews and analyzes filings made in enforcement matters.

• Serves as disciplinary ethics commission Counsel to hearing panels

• Administers, organizes, and manages disciplinary ethics hearings

• Drafts and issues orders on Motions, Petitions, and Requests in accordance with the Procedural Rules.

• Determines the conduct of hearings and the admissibility of evidence and facilitates hearings as described in the Procedural Rules.

• Drafts and issues decision orders on behalf of the disciplinary and ethics commission.

• Supervises other adjudication attorneys as well as paralegals and other relevant staff

• Implements and maintains systems to facilitate case filing, tracking, and reporting (including to executive management).

• Drafts, implements, and maintains policies and procedures which promotes the efficiency and effectiveness of the adjudicatory process.

• Provides as-needed assistance to the General Counsel and Assistant General Counsel – Standards in supporting the Standards Resource Commission in developing guidance resources interpreting the Code and Standards.

• Provides as-needed assistance to the General Counsel and other Managing Directors.

• Collaborates with other Staff to periodically propose revisions to the Procedural Rules.

• Manages and supervises staff, including writing annual performance evaluations and ensuring staff training and development.

• Serves as a coach and mentor to department staff.

• Oversees, evaluates, and updates department budgets and monitors compliance.

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Requirements:

• J.D. degree from an accredited law school; active status licensed attorney in any state; eligible to be admitted in the District of Columbia.

• Minimum of 12 years of legal practice experience in the financial services field

For immediate and confidential consideration, please submit resumes directly to Vice President of Permanent Placement, Anne-Laure McGrory at anne-laure [dot] mcgrory [at] roberthalf [dot] [com].

Requirements

-Minimum of 12yrs of experience in a financial services field

-Licensed to practice in any state with eligibility to waive into DC

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