Senior Paralegal, Ethics

FINRA • Rockville, MD

6h • Hybrid

About The Position

Provides paralegal support to Ethics Office attorneys and senior management. This position works independently on advisory and investigation related assignments under the supervision of the Ethics Office attorneys. Essential Job Functions: Drafts correspondence, summaries of advisory consultations, responds to non-complex policy inquiries, prepares analysis of points of law (e.g., FINRA's Revolving Door Rules and OGE regulations), provides editorial reviews for policy and training materials, prepares metrics, for the review, approval, and use by attorneys. Supports attorneys by proofreading, editing, formatting and finalizing legal documents through to execution, at all times exhibiting a diligent and meticulous approach to detail. Tracks performance and drafts summary outcomes of programs monitored by Ethics attorneys Assists with Advisory and investigations case management and EthicsPoint administration activities. Assists in drafting and maintaining written procedures; assists in identifying and implementing process improvements. 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: The paralegal may also be called upon to assist and Ethics Office senior management, other functions within the Ethics office and the Ethics and Compliance Office, as needed.

Requirements

• Bachelor’s degree; and paralegal certificate, or the equivalent, preferred.
• Three - four years of legal office experience as a paralegal.
• Excellent writing and editing skills required.
• Excellent planning, organization, and communication skills required.
• Proficiency in MS Office Suite products (including Word, Outlook, Excel, and PowerPoint) and electronic legal libraries required.
• Must use a desktop computer daily.
• Must possess ability to work under pressure, meet deadlines, and juggle multiple tasks efficiently and accurately.

Nice To Haves

• Experience working in a legal compliance or ethics program, preferably in a regulatory environment; corporate ethics and compliance program inclusive of Helpline experience, preferred.

Responsibilities

• Drafts correspondence, summaries of advisory consultations, responds to non-complex policy inquiries, prepares analysis of points of law (e.g., FINRA's Revolving Door Rules and OGE regulations), provides editorial reviews for policy and training materials, prepares metrics, for the review, approval, and use by attorneys.
• Supports attorneys by proofreading, editing, formatting and finalizing legal documents through to execution, at all times exhibiting a diligent and meticulous approach to detail.
• Tracks performance and drafts summary outcomes of programs monitored by Ethics attorneys
• Assists with Advisory and investigations case management and EthicsPoint administration activities.
• Assists in drafting and maintaining written procedures; assists in identifying and implementing process improvements.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

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.

What This Job Offers

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