Vice President, Litigation Attorney

Description:

Job Description:
A Privately Held Investment Firm is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth

Our Legal Department is seeking a Vice President, Litigation Attorney who will provide effective, responsive, and strategic legal advice on securities, capital markets, and other company matters. It is preferred that this role is in Los Angeles or the Southern California area. This position is open to hybrid work.

Responsibilities include, but are not limited to:

• Represent A Privately Held Investment Firm in FINRA arbitration or State or Federal Court matters, effectively manage entire case from commencement to resolution or trial
• Support the Firm's transactional practice including drafting, reviewing, managing and negotiating vendor and other third-party contracts
• Work collaboratively and effectively with the Compliance Department and other members of the Legal Department to collaborate on litigation prevention strategies and to ensure a positive relationship with firm regulators
• Manage the conduct of legal proceedings, including negotiations; managing reputational risk; selecting and instructing local external counsel; and ongoing management of related legal costs
• Advise on disputes across all jurisdictions at the firm while assessing risk and applying sound ethical judgment regarding conduct of personnel, escalating, managing and reporting issues
• Oversee paralegals in litigation matters and in responding to subpoenas and other document requests
• Prepare business and corporate transaction documents such as contracts, leases, buy-sell agreements, operating agreements, and related documents
• Collaborate with other attorneys, with respect to advice and counsel to business partners
• Perform other tasks and duties as required and assigned

Experience and Skills:

• Bachelor's Degree from an accredited university
• Strong academic credentials, including a J.D. and license to practice law in California
• 5+ years of experience in litigation, preferably in financial services
• 3+ years of experience in contract drafting and review preferred
• Experience in FINRA/SEC/financial services or other securities matters, including '33 Act, '34 Act, SEC rules, and related considerations preferred
• Strong legal research, analytical, and problem-solving skills
• Highly organized and able to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiency
• Strong analytical, problem-solving, and critical-thinking skills
• Strong communication and presentation skills – the ability to relay precise information orally and in writing to a range of audiences of various sizes up to the level of regional senior management
• Ability and preparedness to take the lead in making appropriate recommendations to senior members of management
• Ability to deliver high levels of client service with a client-focused perspective
• The ability to work flexibly, decisively, and under tight time and demanding conditions to manage a broad range of issues and to work with stakeholders at all levels
• Ability to work independently and exercise sound judgment in determining when to consult management, colleagues, and clients
• Excellent verbal and interpersonal communication skills demonstrated by the ability to interact with all levels of management, employees and outside legal counsel and government officials
• Ability to anticipate and identify issues, develop solutions, and manage periods of heavy work demands

---