Litigation Counsel

Regulatory Attorney Opportunity in Financial Services

Litigation - Counsel

Location(s): 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

12325 Port Grace Boulevard, La Vista, NE 68128

Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Non-remote employees must be willing to work this schedule.

Salary: $140,000 - $175,000 per year + annual bonus

• Actual compensation offered will be determined individually, based ona number ofjob-related factors, including location, skills, experience, and education.
• Our competitive salaries are just onecomponentofOsaic'stotal compensation package.Additionalbenefitsincludehealth, vision, dental insurance, 401k, vacation and sick time, volunteer days and much more. To view more details of what you can look forward to, visit our careers page:https://careers.osaic.com/Creative/Benefits

Role Type: Full time

Summary:

We currently have an opening for a litigation attorney to handle a personal docket of FINRA arbitration claims and to assist with overall management and administration of legal claims and issues involving our 11,000 financial professionals. This position will report directly to the Deputy General Counsel, Head of Litigation for Osaic. Individuals serving in this position will collaborate with Osaic's team of litigators and participate in business initiatives involving litigation trends. They will also work with the Compliance and Supervision Departments on "best practices" and "lessons learned" initiatives.

Responsibilities:

• Independently handling all aspects of a personal docket of FINRA arbitration claims, including claim investigation, drafting of pleadings, motions, discovery requests, preparation and review of discovery production, legal research and trial;
• Recording and reporting on Counsel's docket of litigation and other claims against the Osaic broker-dealers;
• Administration of claims and interaction with our insurance carriers including claim filing, status reporting, and preparation of proofs of loss related to all insurance policies;
• Administration of cases placed with outside counsel;
• Handling of a broad variety of legal inquiries related to our 11,000 independent financial professionals;
• The attorney serving in this position will be part of a fast-paced, dynamic work-environment, requiring strong writing and communication skills; oral advocacy skills; legal and analytical skills; a creative approach to problem solving; a demonstrated ability to multi-task and to work successfully on time-sensitive matters; the ability to work as part of a team collaborating with other counsel and business or compliance personnel;
• There will be substantial interaction with our independent financial professionals and candidates should have strong interpersonal skills to build relationships with these financial professionals;
• All other duties as assigned.

Education Requirements:

• JD degree is required.
• Must be a member in good standing with the bar in the jurisdiction of employment within six months of hire.

Basic Requirements:

• 1-5 years experience with litigation, preferably in the FINRA arbitration forum.
• Familiarity with broker-dealers and registered investment advisers and the laws and rules that apply to these entities is a requirement.

Preferred Requirements:

• Development of writing skills and/or oral advocacy in a setting such as Law Review, Moot Court or Trial Competition is preferred.