Associate, HONORS Program-1

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.

Education / Experience 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.

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

Work Conditions :

Hybrid work environment, with defined in-person presence requirements.

Extended hours may be required.

Please apply with : Resume

Writing sample

Unofficial law school transcript

Cover letter

Other Information :

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.

For work that is performed in CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

CA : Minimum of $81,300, Maximum Salary $151,300

CO / FL / TX : Minimum Salary $70,600, Maximum Salary $126,000

IL

MA / MD / VA / Washington DC : Minimum Salary $81,300, Maximum Salary $145,000

NY

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range.

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