Senior Counsel, Litigation

Job Description Summary

Under general direction with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience to manage a variety of litigation matters with a focus on securities matters in FINRA’s arbitration forum and in federal and state courts. Will maintain and manage a caseload and prepare answers to statements of claim or complaints, engage in discovery and motion practice, engage in settlement negotiations and mediations and conduct arbitration final hearings. In addition to the foregoing, will manage outside counsel in significant litigation matters and will provide litigation-related legal advice across the Raymond James entities. Will also have extensive contact with internal clients, senior management and outside counsel.

Job Description

Job Summary:

Under general direction with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience to manage a variety of litigation matters with a focus on securities matters in FINRA’s arbitration forum and in federal and state courts.  Will maintain and manage a caseload and prepare answers to statements of claim or complaints, engage in discovery and motion practice, engage in settlement negotiations and mediations and conduct arbitration final hearings.  In addition to the foregoing, will manage outside counsel in significant litigation matters and will provide litigation-related legal advice across the Raymond James entities.  Will also have extensive contact with internal clients, senior management and outside counsel.

Responsibilities:

•  Provides legal review and represents the organization on litigation matters.

•  Is responsible for managing a portfolio of litigation matters, including FINRA customer arbitrations.

•  Coordinates with outside counsel in activities as required.

•  Drafts documents and performs legal research associated with litigation matters.

•  Maintains currency in legal issues in litigation.

•  Provides advice, counsel, and recommendations to senior management on litigation matters.

•  Work with outside counsel in connection with litigation matters and specific legal and regulatory issues.

•  Prepares and delivers written and oral presentations to management and senior management on litigation matters.

•  Leads the work of others and may train, coach and mentor others. 

•  Fosters teamwork to deliver exceptional service and maintain effective working relationships with internal clients, stakeholders and team members.

•  Performs other duties and responsibilities as assigned.

Knowledge of:

•  Advanced concepts, principles and practices of laws and regulations related to FINRA’s arbitration forum and federal and state courts.  

•  Advanced principles of banking and finance and securities industry operations.

•  Advanced financial markets and products.

Skill in:

•  Managing a heavy volume of litigation matters.

•  Performing legal review.

•  Providing legal representation.

•  Reviewing potential legal issues related to litigation matters and providing recommendations for resolution.

•  Performing legal research.

•  Independently drafting, reviewing and revising, and presenting (orally and in writing) analysis to internal customers including management and senior management on litigation matters.

•  Operating standard office equipment and using required software applications.

Ability to:

• Lead the work of others.  

• Maintain currency in legal issues related to litigation matters. Partner with other functional areas to accomplish objectives.

•  Provide legal advice, counsel and recommendations to senior management on litigation matters.

•  Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.

•  Gather information, identify linkages and trends and apply findings to assignments.

•  Use critical thinking skills to read, interpret, analyze, and apply applicable laws.

•  Interpret and apply policies and identify and recommend changes as appropriate.

•  Prioritize and manage multiple priorities in a fast-paced, dynamically changing environment.

•  Communicate effectively, both orally and in writing, with all organizational levels.

•  Work independently as well as collaboratively within a team environment.

•  Handle stressful situations, a heavy diverse case load, and provide a high level of customer service in a calm and professional manner.

•  Establish and maintain effective working relationships at all levels of the organization.

Education/Previous Experience

• Juris Doctorate with excellent academic credentials and minimum of six (6) year of progressively responsible experience in relevant practice area(s) (law firm and/or in-house in a related area involving financial services industry preferred).

•  OR ~

•  Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• Admitted to the Florida Bar.

Education

Juris Doctor (JD): Law

Work Experience

General Experience - 6 to 10 years

Certifications

State Bar (Any State) - American Bar Association

Travel

Less than 25%

Workstyle

Hybrid

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. 
We expect our associates at all levels to:
•  Grow professionally and inspire others to do the same
•  Work with and through others to achieve desired outcomes
•  Make prompt, pragmatic choices and act with the client in mind
•  Take ownership and hold themselves and others accountable for delivering results that matter
•  Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates.  When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. 

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