Manage outside attorneys representing Cetera companies in litigations, arbitrations, and mediations
Work with insurance carriers and brokers to secure insurance coverage where applicable
Handle a caseload of arbitrations in house
Liaise with financial advisors, senior management of Cetera’s affiliates, and various business units throughout the organization to formulate litigation plans, develop facts, and successfully manage and resolve disputes impacting the company and its advisors
Work with Cetera’s business, compliance and regulatory response teams to address and mitigate risks arising out of litigations and complaints
Provide guidance to the company to relating to litigation risk
Cover a wide variety of subject matters, including broker-dealer and investment adviser law, insurance, cybersecurity, employment, business torts, contracts, promissory notes, corporate governance, privacy and other matters

Requirements

J.D. degree and admission to the California state bar
10+ years of relevant litigation experience
Demonstrated ability to independently handle all aspects of litigation (e.g., screening, discovery, motions, trial assistance, etc.)
Industry specific experience (Broker-Dealer/RIA) with FINRA arbitrations and/or regulatory enforcement
Conducted or second chaired trials or hearings
Demonstrated ability to work in a team environment
Ability to communicate succinctly and effectively with senior leadership

Benefits

Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
Easy access to mental health benefits to meet our team members and their families where they are.
20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
Paid parental leave to support all team members with birth, adoption, and foster.
Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools

litigation managementarbitrationmediationdiscoverytrial assistanceregulatory compliancerisk mitigationcontract lawcorporate governancecybersecurity law

Soft Skills

team collaborationeffective communicationleadershipproblem-solvingstrategic planning

Certifications

J.D. degreeCalifornia state bar admission