FINRA

Paralegal (Regulatory)

3+ months agoWashington, DC

This position provides dedicated paralegal support to OGC Regulatory attorneys in connection with the complete life cycle of the adoption of new regulatory initiatives. The incumbent applies substantial analytical skills and knowledge of various rules and regulatory requirements to ensure that regulatory rule filings are properly managed and administered. This is a position in which the incumbent regularly works on sustained, unsupervised projects and in a team environment to train junior regulatory policy analysts in performing similar job functions.

Essential Job Functions:

• Assists OGC Regulatory attorneys in the drafting of rule filings for submission to the SEC, FINRA Regulatory Notices, Board Action Items, comment summaries, responses to comments and interpretive letters. Pays close attention to detail in proofreading, editing, formatting and finalizing this documentation to ensure it is prepared in accordance with required format, free of obvious errors and appropriately cited. Updates the FINRA Rule Filing template as needed in response to revised SEC rules and procedures.

• Performs in-depth research on regulatory issues raised under federal securities laws and regulations, FINRA rules and other relevant market rules.

• Drafts well-written legal memoranda, displaying advanced understanding of FINRA rules and procedures.
• Monitors the status of OGC projects for completion time frames, publication dates, comment periods, presentation at Board meetings and resolution of outstanding issues and responsible parties. Prepares status reports that are distributed to Senior Management. Attends staff meetings and updates charts to reflect items scheduled for Board meetings. Tracks and monitors securities regulation issues before the Board, SEC and Congress.

• Collaborates with technology staff to develop and maintain electronic tracking systems for various regulatory functions. Generates monthly status reports of outstanding issues and requests. Creates new statistical and complex tracking reports, as needed.

• Aids in coordinating work with the Office of the Chief Economist to ensure draft documents relating to economic impact assessments of rulemakings are appropriately incorporated.

• Receives and responds to inquiries from external and internal constituents regarding FINRA rules and procedures. These inquiries often require an understanding of the rules and procedures.

Other Responsibilities:

• Reviews rule filing-related documentation, exemptions and interpretative request decisions before posting to the FINRA website.

• Supports the OGC Appellate attorneys, when necessary, with legal research and other tasks, as assigned.

• Keeps abreast of and analyzes SEC, industry and other self-regulatory organization initiatives.

• Performs other level-appropriate duties, as assigned.

Education/Experience Requirements:

• Bachelor's degree and paralegal certificate or equivalent.

• Minimum of 5 years of relevant regulatory experience, or equivalent experience.

• Advanced knowledge of FINRA rules and procedures, preferred.

• Knowledge of Microsoft Office required; knowledge of SharePoint preferred.
• Excellent oral and written communication skills.
• Excellent judgment and interpersonal skills.

Working Conditions:

• Work is normally performed in an office environment.
• Occasional travel and extended hours may be required.

To be considered for this position, please submit an application.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

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Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

Important Information

FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code's investment and securities account restrictions, and new employees must comply with those investment restrictions-including disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice President-by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company's policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person's relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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