Associate, HONORS Program

FINRA Enforcement Associates, Honors Program make meaningful contributions to Enforcement’s investigations of and decisions about whether to bring disciplinary actions against individuals and firms in the financial industry. Associates gain substantive hands-on legal experience that develops their lawyering skills in investigating, litigating and writing. They also gain specialized knowledge about the financial industry and participate in a robust legal, financial and leadership training program.

This is an entry-level position that works under the supervision of more senior attorneys, investigators, Directors and Chief Counsels. Associates work on variety of discrete projects as they move through six-month rotations in different Enforcement groups, which may include – Litigation, Main Enforcement, Market Regulation Enforcement, Investigations, and the Office of Counsel to the Head of Enforcement.

Essential Job Functions:

Enforcement Associates, Honors Program, work directly with more senior attorneys and investigators on investigations and litigations to provide high-level support throughout all phases of Enforcement matters. Duties include:

• Performing substantive and procedural legal and sanctions research, and drafting summaries of each, in support of more senior attorneys.
• Reviewing case files for evidence that supports legal findings, including sworn testimony, electronic communications and trade blotters.
• Proposing types and categories of evidence to collect through requests for information and documentation.
• Organizing and synthesizing evidence and creating and making oral presentations of factual findings to more senior attorneys.
• Drafting written summaries of factual findings.
• Proposing questions and exhibits for and attending interviews (both sworn and informal) with customers and industry personnel.
• Drafting sections of legal documents, including charging recommendation memos, settlement documents, complaints and pre-hearing briefs in support of more senior attorneys and investigators.
• Proposing investigative and legal strategies for consideration by more senior attorneys.
• Supporting litigation teams in hearing preparation by gathering documents for production and participating in efforts by more senior attorneys to identify potential witnesses, exhibits and lines of questioning for direct and cross examinations.
• Utilizing computer resources and software applications for data and information analysis pursuant to department procedures.

Other Responsibilities:

• Assists with other projects as assigned.

Education/Experience Requirements:

• Recent graduate of a J.D. or L.L.M. program and superior academic credentials.
• Excellent interpersonal, organizational, and written and oral communication skills are essential.
• Strong work ethic, positive attitude and professional demeanor.
• Strong analysis and research skills.
• Should be thorough and able to handle competing priorities.
• Should have ability to work with others to meet deadlines.
• Should be proactive; solutions-oriented; innovative; collaborative and motivated to learn new skills.
• Securities law related course work and/or knowledge of securities law or brokerage regulations are not required, but preferred.

Working Conditions

• Work is normally performed in an office environment.
• Extended hours may be required.

Application Process

Applicants must submit a:

• Current resume
• Current transcript
• Legal writing sample
• Cover letter explaining your interest in the position, preferred posting location, and the qualifications making you an appropriate candidate

Other Information

To be eligible to be hired for a permanent attorney position at FINRA after completion of the two year Honors Program, candidates must have successfully performed the responsibilities of the Honors Associate and must have passed a Bar examination and be duly licensed to practice as an attorney in any state, territory, or the District of Columbia.

To be considered for this position, please submit an application.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

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In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here .

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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