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Job Summary:

Under direction but with a high level of autonomy, uses knowledge and skills obtained through education and experience to manage or assist with 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 also will work collaboratively on matters with more experienced in-house litigators and will develop strategy, 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, as well as collaborating on matters with more senior in-house litigators.

• 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.

• Works 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.

• Collaborating with more experienced lawyers.

• 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 three (3) 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 or willing to take the Florida Bar Exam within a short period after beginning employment.