Litigation Counsel

Overview

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; 2300 Windy Ridge Parkway, Atlanta, GA 30339; 877 Executive Center Drive West, St. Petersburg, FL 33702; 7755 Third Street North, Oakdale, MN 55128.

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: $180,000 - $200,000 per year + annual bonus

Health, vision, dental insurance, 401k, paid time away, volunteer days and more are part of Osaic’s total compensation package. To view more details of what you can look forward to, visit our careers page:

• 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.

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

• 3-9 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.
• 3-9 years of experience in legal leadership

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

Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.

Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.