HONORS Program 2027

FINRA • Jersey City, NJ

4d • $72,400 - $155,100 • 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 Enforcement staff.

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.
• 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.

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.
• comprehensive health, dental and vision insurance.
• 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.
• immediate participation and vesting in a 401(k) plan with company match
• eligibility for participation in an additional FINRA-funded retirement contribution
• tuition reimbursement
• commuter benefits
• adoption assistance
• backup family care
• surrogacy benefits
• employee assistance
• wellness programs
• generous time-off program starting at 15 days of paid time off (increasing with years of service, up to 25 days)
• 5 personal days
• 9 sick days
• two volunteer service days
• 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)
• childbirth and parental leave (available after 90 days of employment)
• nine paid holidays

What This Job Offers

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