Archived listing. The details below describe a past opening.
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. Honors 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 Enforcement staff.
Essential Job Functions:
- Honors Associates work directly with more senior Enforcement staff 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.
- Demonstration of FINRA’s values.
- Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
- Other Responsibilities: Assists with other projects as assigned.
Education/Experience Requirements:
- Recent graduate of a J.D. or L.L.M. program.
- Excellent interpersonal, organizational, and written and oral communication skills are essential.
- Strong work ethics, 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.
- Other Information It is required to pass the Bar in order to be eligible to continue in the Honors Program beyond the first year of the Program.
- To be eligible for a attorney position at FINRA after completion of the two-year Honors Program, candidates must have successfully performed the responsibilities of the Honors Associate, have a law degree and be appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements.
Work Conditions:
- Hybrid work environment, with defined in-person presence requirements.
- Extended hours may be required.
Applications must include:
- Current resume
- Cover letter explaining your interest in the position, preferred posting location, and the qualifications making you an appropriate candidate
- Current transcript and legal writing sample will be required if selected for an interview
- Writing sample
For work that is performed in Los Angeles and San Francisco, CA, CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations.
Los Angeles, CA: $ 86,000 - $130,000 San Francisco, CA: $90,000 - $135,000 Boston, MA: $83,300 - $148,600 Chicago, IL: $79,800 - $142,300 Denver, CO: $72,400 - $129,200 Jericho, NY: $83,300 - $148,600 Jersey City, NJ: $86,800 - $155,100 Philadelphia, PA: $79,800 - $142,300 New York, NY: $86,800 - $155,100 Rockville, MD: $83,300 - $148,600 Tysons VA: $83,300 - $148,600 Washington, DC: $83,300 - $148,600 Woodbridge, NJ: $83,300 - $148,600 Connecticut State: $72,400 - $155,100 Washington State: $72,400 - $155,100
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.
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.
Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.
Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
Time Off and Paid Leave*
FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program starting at 15 days of paid time off (increasing with years of service, up to 25 days), 5 personal days, and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.
*Based on full-time schedule
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.
Washington state applicants: click here for required notice(s).
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 Employer
All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.
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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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