Job Description
This role is responsible for managing employment litigation and investigations related to whistleblower allegations arising under the Sarbanes‑Oxley Act, Dodd‑Frank Act, and other federal and state laws, including claims involving retaliation, fraud, and regulatory or compliance matters. The position provides employment and labor legal counsel to Human Resources, Employee Relations, and line‑of‑business managers, advising on legal risks, negotiating and drafting employment‑related documents, interpreting policies, and applying applicable employment laws and regulations. It also directs outside counsel, coordinates the work of paralegals and other legal staff, and supports the resolution of employment‑related legal matters and inquiries.
Responsibilities
- Provides thought leadership and strategic advice on complex legal issues to corporate functions
- Provides clear, concise, actionable legal advice to leadership
- Drives the creation of strategies and participates in negotiations to resolve legal and other risks presented by active matters, new technology, and anticipated regulatory changes
- Interprets rulings, laws, and regulations
- Drafts, reviews, and/or negotiates complex legal documents such as regulatory filings, engagement letters, offering documents, and legal opinions
- Supports company responses to government agency examinations and investigations, enforcement actions, private complaints, and litigation
- Directs the work of outside counsel and other legal staff, and trains, mentors, or supports the development of peers
- Leads defense efforts on potential, threatened, and pending employment litigation matters, including advising on and leading investigations related to whistleblower allegations, retaliation, fraud, and regulatory or compliance concerns
- Partners with Human Resources, Compliance, Risk, Audit, and other control functions to provide guidance on complex employment matters and legal risks
- Reports employment‑related legal matters, policies, and initiatives to senior management and oversees related litigation activity, including supervising outside counsel
Required Qualifications
- Admitted to state bar in good standing
- Minimum 15 years of experience at a major law firm or corporate legal department
- Minimum 10 years of knowledge of HR and employment law matters
- Extensive experience with whistleblower claims and investigations, including legal and reporting requirements
- Experience presenting complex issues in a clear and concise manner and providing succinct results‑oriented legal advice for C‑Suite executives
- Ability to field issues across a diverse set of legal fields
- Strong interpersonal, organizational, and problem‑solving skills
- Ability to work in a fast‑paced, demanding, and collaborative environment with many stakeholders
- Independent, self‑starter capable of prioritizing conflicting demands and handling multiple assignments simultaneously
- Strong influencing and leadership skills, including decisiveness on both legal and business issues
Desired Qualifications
- 7+ years of experience supporting the financial services industry and/or broker/dealer businesses with respect to employment‑related legal issues
Skills
- Advisory
- Corporate Governance Management
- Oral Communications
- Stakeholder Management
- Written Communications
- Attention to Detail
- Collaboration
- Issue Management
- Legal Drafting and Writing
- Relationship Building
- Executive Presence
- Interpret Relevant Laws, Rules, and Regulations
- Presentation Skills
- Regulatory Compliance
- Risk Management
Minimum Education Requirement
Doctorate degree in a related field
Shift & Hours
Shift: 1st shift (United States of America)
Hours per week: 40
Pay and Benefits
Pay range: $235,000.00 – $278,000.00 annualized salary, offers to be determined based on experience, education and skill set.
Discretionary incentive: eligible for an annual discretionary award based on performance.
Benefits: industry‑leading benefits, access to paid time off, and resources to support employees.