Associate, HONORS Program-1

FINRA•New York City, NY

13d•Hybrid

About The Position

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 attorneys, investigators, Directors and Chief Counsels. Honors Associates work on variety of discrete projects as they move through rotations in the Enforcement Legal and Investigations groups. Essential Job Functions: Honors Associates 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. 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.

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 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.

Nice To Haves

Securities law related course work and/or knowledge of securities law or brokerage regulations are not required, but preferred.

Responsibilities

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.
Assists with other projects as assigned.

Benefits

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 of 15 days of paid time off, 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.

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