Financial Services-FINRA Partner

Kaufman Dolowich is a full-service national law firm with more than 250 attorneys across 16 offices and over 25 practice areas. We are seeking an experienced Partner to join our growing Financial Services and Institutions Practice. The ideal candidate will have a portable book of business, strong client and case management experience, and admission to practice in a jurisdiction where the firm has an office. Florida Bar admission is preferred.

This is an exciting opportunity to work alongside experienced attorneys who counsel and defend broker-dealers, registered investment advisors, insurance agents, and other financial services organizations and individuals.  Our team has successfully represented firms and individuals in FINRA arbitrations, AAA (and other) arbitrations, state and federal courts, and regulatory examinations and proceedings.

Responsibilities

• Manage arbitration/litigation/regulatory matters from inception through resolution.
• Communicate directly with clients, providing strategic guidance and regular case updates.
• Collaborate with attorneys across offices and practice groups on financial services matters.
• Consult with clients on compliance issues to assist firms and individuals in meeting their legal and regulatory requirements.

Qualifications

• Admission to practice in the state in which you reside is required.
• Admission to practice in Florida preferred. 
• 10+ years of Financial Services Litigation experience.
• Strong analytical, writing, research, and communication skills.
• Ability to independently manage multiple matters in a fast-paced environment.
• Excellent organizational, case management, and interpersonal skills.

Required Experience

• Experience handling FINRA, AAA, and other arbitration proceedings, including customer and intra-industry disputes, on behalf of broker-dealers, investment advisors, and other financial services professionals.
• Experience responding to FINRA, SEC and state regulatory investigations and enforcement actions.
• Experience defending financial services professionals in state and federal court actions.
• Experience representing insurance agents in professional liability claims in state and federal courts and arbitration proceedings.

Why Join Kaufman Dolowich?

• Collaborative and entrepreneurial culture with strong mentorship and support.
• Significant opportunities for professional growth, client development, and advancement.
• Unlimited PTO for attorneys.
• Competitive compensation and comprehensive benefits package.
• Robust discretionary and billable-based bonus opportunities.
• Meaningful clients contact and hands-on litigation experience.

We offer flexible work arrangements, including hybrid and fully remote options. The specific arrangement will be determined in collaboration with you based on your experience, responsibilities, and team needs.