HONORS Program 2027

FINRA • New York City, NY

2d • $72,400 - $155,100 • Hybrid

About The Position

The FINRA Enforcement Associates Honors Program is an entry-level, two-year program for recent J.D. or L.L.M. graduates. Honors Associates make substantive contributions to Enforcement investigations and decisions about whether to bring disciplinary actions against individuals and firms in the financial industry. Under the supervision of more senior Enforcement staff, Associates gain hands-on legal experience in investigating, litigating, and writing, develop specialized knowledge of the financial industry, and participate in legal, financial, and leadership training.

Associates provide high-level support throughout all phases of Enforcement matters. The position involves legal and sanctions research, reviewing and synthesizing evidence, supporting interviews and litigation preparation, and drafting factual summaries and legal documents. Associates collaborate with colleagues in person and virtually in support of FINRA’s mission of investor protection and market integrity. The work environment is hybrid, with defined in-person presence requirements; extended hours may be required.

Applicants must submit a current resume, a cover letter explaining their interest, preferred posting location, and qualifications, and a writing sample. A current transcript and legal writing sample will be required if selected for an interview. Passing the Bar is required to continue beyond the first year of the program. To be eligible for an attorney position at FINRA after completing the two-year program, candidates must have successfully performed the Honors Associate responsibilities, hold a law degree, and be appropriately licensed in all applicable jurisdictions.

The listed annual salary ranges vary by work location: Los Angeles, $86,000–$130,000; San Francisco, $90,000–$135,000; Boston, Jericho, Rockville, Tysons, Washington, DC, and Woodbridge, $83,300–$148,600; Chicago and Philadelphia, $79,800–$142,300; Denver, $72,400–$129,200; Jersey City and New York, $86,800–$155,100; Connecticut and Washington State, $72,400–$155,100. Actual compensation depends on factors including skills, experience, education, and market considerations. Employees may be eligible for a discretionary bonus; non-exempt employees are also eligible for overtime pay in accordance with applicable law.

FINRA provides health, dental, and vision insurance; life and other insurance coverage; a 401(k) plan with company match and eligibility for an additional FINRA-funded retirement contribution; tuition reimbursement; commuter benefits; adoption assistance; backup family care; surrogacy benefits; employee assistance and wellness programs; paid time off, personal and sick days; volunteer service days; other paid leave; and paid holidays for full-time employees.

FINRA employees must comply with its Code of Conduct, including brokerage-account disclosure and investment restrictions. Accounts subject to disclosure must be held at securities firms that provide FINRA with an electronic data feed; accounts at other firms must be moved within three months of employment. Employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with its nepotism policy.

Requirements

• Recent graduate of a J.D. or L.L.M. program.
• Excellent interpersonal, organizational, written communication, and oral communication skills.
• Strong work ethic, positive attitude, and professional demeanor.
• Strong analytical and research skills.
• Thoroughness and ability to handle competing priorities.
• Ability to work with others to meet deadlines.
• Proactive, solutions-oriented, innovative, collaborative, and motivated to learn new skills.
• Pass the Bar to continue in the Honors Program beyond the first year.
• For eligibility for a FINRA attorney position after the two-year program: successful performance of Honors Associate responsibilities, a law degree, and appropriate licensure to practice law in all applicable jurisdictions.
• Submit a current resume, cover letter, and writing sample with the application.

Nice To Haves

• Securities-law-related coursework and/or knowledge of securities law or brokerage regulations.

Responsibilities

• Conduct substantive and procedural legal and sanctions research and draft summaries to support more senior attorneys.
• Review case files for evidence supporting legal findings, including sworn testimony, electronic communications, and trade blotters.
• Propose types and categories of evidence to collect through requests for information and documentation.
• Organize and synthesize evidence, and create and deliver oral presentations of factual findings to more senior attorneys.
• Draft written summaries of factual findings.
• Propose questions and exhibits for interviews with customers and industry personnel, and attend sworn and informal interviews.
• Draft portions of legal documents, including charging recommendation memoranda, settlement documents, complaints, and pre-hearing briefs, in support of more senior attorneys and investigators.
• Propose investigative and legal strategies for consideration by more senior attorneys.
• Support hearing preparation by gathering documents for production and assisting more senior attorneys in identifying potential witnesses, exhibits, and lines of questioning for direct and cross-examinations.
• Use computer resources and software applications for data and information analysis in accordance with department procedures.
• Collaborate in person and virtually in furtherance of FINRA’s mission of investor protection and market integrity.
• Demonstrate FINRA’s values and assist with other projects as assigned.

Benefits

• Health insurance
• Dental insurance
• Vision insurance
• Basic life insurance and other life and accidental death and dismemberment insurance coverage
• Short- and long-term disability insurance
• Long-term care insurance
• Business travel accident insurance
• Legal insurance
• 401(k) plan with company match
• Additional FINRA-funded retirement contribution eligibility
• Tuition reimbursement
• Commuter benefits
• Adoption assistance
• Backup family care
• Surrogacy benefits
• Employee assistance
• Wellness programs
• Paid time off starting at 15 days and increasing with years of service up to 25 days
• Five personal days
• Nine sick days
• Two volunteer service days
• Military leave
• Jury duty leave
• Bereavement leave
• Voting and election official leave
• Care of a family member leave
• Childbirth and parental leave
• Nine paid holidays for full-time employees
• Discretionary bonus eligibility
• Overtime pay for non-exempt employees in accordance with applicable law

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level