Litigation Counsel

Litigation – Staff Counsel


Location:          12325 Port Grace Boulevard, La Vista, NE 68128

Role Type:        Full time

Summary:

We currently have an entry-level opening for a Litigation Counsel attorney to assist with litigation management at our broker-dealers, as well as with administration of legal claims and issues involving our 11,300 financial professionals.  The Litigation Counsel position will report directly to the Deputy General Counsel, Head of Litigation for Advisor Group and will carry significant docket tracking and reporting responsibilities.  Additionally, our Litigation Counsel will assist the Head of Litigation and other Litigation Counsel with FINRA arbitration cases handled in-house, and eventually the Litigation Counsel will be directly assigned a personal docket of arbitration cases.  Individuals serving in this position will work closely with the Head of Litigation and the General Counsel on business initiatives involving litigation trends, as well as with the Compliance and Supervision Departments on “best practices” and “lessons learned” initiatives.     

Responsibilities:

  • Recording and reporting of the docket of litigation and other claims against the Advisor Group 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;  
  • Drafting of pleadings, motions, discovery requests, preparation and review of discovery production, and research related to FINRA arbitration claims handled internally;
  • Responding to various third-party subpoenas served upon the broker-dealers;
  • Administration of cases placed with outside counsel;
  • Handling of a broad variety of legal inquiries related to our 11,300 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; 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.

Education Requirements:

  • JD degree is required. 
  • Must be a member in good standing with the State Bar of Nebraska or another jurisdiction within six months of hire.

Basic Requirements:

  • Familiarity with broker-dealers and registered investment advisers and the laws and rules that applies to these entities is a requirement.

Preferred Requirements:

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

We are willing to train individuals who demonstrate strong potential to meet these requirements.

Be A Part Of The Team Behind Our Success!

At Advisor Group, we support financial professionals across the nation, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Equal Opportunity Employer

Advisor Group 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.

Eligibility

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 Advisor Group.

Unqualified Applications

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

Recruiting Agencies

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