FINRA Legal Extern, Enforcement (UNPAID) - 2027 SPRING SEMESTER
About The Position
Legal externs work closely with Enforcement’s attorneys, investigators and management to assist Enforcement in investigating and determining whether FINRA regulated firms and/or associated individuals violated the federal securities laws or FINRA, or MSRB rules. Externs perform a variety of tasks including legal research and writing, and document review, as well as assisting staff to prepare for on-the-record testimony. Externs also have the opportunity to observe on-the-record interviews and settlement negotiations, and to attend departmental meetings and participate in trainings designed to build or enhance skills and knowledge.
Requirements
- Graduate student pursuing JD or LLM
- Strong writing, analysis and research skills
- Strong work ethic, positive attitude and professional demeanor
- Ability to work with others to meet deadlines
- Ability to perform multiple tasks efficiently and accurately
- Must work a minimum of 12 hours weekly.
- Must earn current course credits (determined by school) and cannot work purely as a volunteer.
- FINRA requires at least one credit.
- Must pass a drug screening test and a minimal background check prior to starting the externship.
Nice To Haves
- Securities law related course work and/or knowledge of securities law or brokerage regulations are not required, but preferred
- Securities industry experience is a plus
Responsibilities
- Assist in investigating and determining whether FINRA regulated firms and/or associated individuals violated the federal securities laws or FINRA, or MSRB rules.
- Perform legal research and writing.
- Conduct document review.
- Assist staff to prepare for on-the-record testimony.
- Observe on-the-record interviews and settlement negotiations.
- Attend departmental meetings.
- Participate in trainings designed to build or enhance skills and knowledge.
Benefits
- 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 insurance
- 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 programs
- Wellness programs
- 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
- 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
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What This Job Offers
Job Type
Part-time
Career Level
Entry Level
