Effectively preside over, and chair hearing panels at, contested hearings and pre-hearing conferences and regulate the conduct of the proceedings in accordance with applicable procedural rules.

Ensure that FINRA provides respondents with a full and fair opportunity to defend themselves.

Prepare timely and well-written hearing panel decisions, default decisions, orders, and expedited decisions.

Determine whether substantive violations of the federal securities laws, rules, and regulations, FINRA rules, MSRB Rules, or the rules of other self-regulatory organizations have occurred.

Address procedural and substantive issues, including those that arise in more complex disciplinary proceedings (multiple respondents and multiple allegations).

Conduct pre-hearing conferences, administer motions practice, manage development of the hearing record, and certify appellate record to the National Adjudicatory Council.

Maintain composure under pressure and demonstrate an ability to rule decisively on a variety of matters during hearings, pre-hearing conferences, and panel deliberations.

Supervise legal assistants and administrative assistants who work within the Office of Hearing Officers., FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code's investment and securities account restrictions, and new employees must comply with those investment restrictions-including disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice President-by the date they begin employment with FINRA.

15 years of litigation experience. Significant experience participating in formal hearings or trials, participating in litigation, and understanding administrative law is preferred.

Knowledge of federal securities laws, Securities and Exchange Commission rules and regulations, and FINRA or other self-regulatory rules.

Experience adjudicating disciplinary proceedings involving the federal securities laws or self-regulatory rules is preferred.

Hearing Officers preside over formal disciplinary proceedings on a wide range of cases brought by FINRA's Department of Enforcement against FINRA-registered firms and persons associated with FINRA-registered firms. Hearing Officers also preside over disciplinary proceedings initiated by the New York Stock Exchange and other self-regulatory organizations against their members and associated persons. Hearing Officers also adjudicate temporary cease and desist proceedings and a variety of other expedited proceedings against FINRA-registered firms and associated persons., 2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Normal office environment.

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.
Based on full-time schedule