Under the guidance and supervision of the Vice President, Counsels, and Senior Attorneys in the Office of Oversight Liaison & Counsel (OLC), the Attorney I will assist in the handling of various document requests and productions in response to government requests including SEC inspections..
Under the direct supervision of the Vice President and Supervisory Counsels and Attorneys in OLC, the Attorney I will engage in the following activities:
- Assist with the organization, review and production of FINRA responses to SEC Oversight Inspections and other Government productions as needed, pursuant to applicable procedures.
- In this capacity, the attorney will work closely with OLC management to assist FINRA Departments in responding to government requests, and assist as necessary in the gathering of information and documentation.
- Conduct due diligence reviews of responsive documents and information prior to production.
- Assist in the drafting of responses to government requests and reports.
- Attend meetings with the SEC and other oversight authorities.
- Closely track, index and archive productions made to oversight authorities.
- Assist with certain internal compliance functions and initiatives, as well as non-oversight productions.
- Assist with special projects for the department.
- Support the culture within FINRA of full cooperation with Oversight Agencies, and of providing full and accurate responses to inspection requests.
- This position entails high visibility representation of FINRA with the SEC and other Oversight Agencies, as well as client SROs.
- This position also requires internal communications with all FINRA Departments. As a result, the Attorney must have good independent judgment and credibility in all communications with these entities.
- Law degree required.
- A minimum of two years of professional experience at the SEC, a Self-Regulatory Organization, a Broker-Dealer, or a law firm, in regulation, enforcement, and/or examination for compliance with the securities laws and rules is required.
- Some experience with the Federal Securities Laws, the rules and regulations governing the securities industry, the regulation of Self-Regulatory Organizations, and the practices of the trading and market-making businesses of FINRA member firms is preferred.
- Strong written communication skills;
- Strong judgment and interpersonal skills; and
- Strong organizational and investigatory skills.
- Work is normally performed in an office environment, with extended hours when necessary. Some travel may be required.
To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.
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.
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.
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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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