Senior Attorney, Enforcement
- Rockville, MD
The Senior. Attorney performs a variety of specific duties generally including applying analytical skills to participating in providing legal interpretations regarding laws, rules, and regulations; in drafting legal documents; and in hearings and settlements. Assigned to handle routine and intermediate-in-scope investigations from initiation through recommendation on disposition. May also be assigned to work on more complicated matters alongside more experienced attorneys and investigators on teams or task forces. Polishing litigation and investigative skills and expanding upon understanding of federal securities laws and regulations working under well-defined guidance.
Essential Job Functions:
- Plan for and participate in various tasks related to investigations pertaining to sales practice and trading violations by member firms and associated persons including the gathering of documentation evidence and the analysis thereof.
- Researches and interprets rules, regulations, statutes, and decisions of regulatory and quasi-judicial bodies.
- Advises Enforcement Director regarding laws, rules, and regulations.
- Examines and analyzes data to recommend advisability of pursuing disciplinary action.
- Gathers and analyzes evidence to formulate cases or to initiate disciplinary action. Drafts memoranda summarizing investigative results and recommending whether to take further action.
- Under the direction of the Enforcement Director, prepares Letters of Caution and closing memoranda where formal disciplinary action is not recommended.
- Participates in interviewing witnesses and respondents, and handling other details in preparation for disciplinary actions under the direction of the Enforcement Director.
- Works closely with Enforcement Director in preparing drafts of motions, responses, exhibits, briefs, strategy, arguments, testimony, and settlement documents for corrective, remedial, or legal proceedings.
- Assists with disciplinary proceedings.
- Participates in negotiations and settlements.
- Drafts a variety of legal documents.
- Law degree and admission to the bar.
- A minimum of two years relevant legal experience in a regulatory or legal environment.
- Advanced oral and written communication and litigation skills.
- Excellent interpersonal skills.
- Work is normally performed in an office environment.
- Work outside of business hours and overnight travel 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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In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, 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.
FINRAâ€™s Code of Conduct imposes restrictions on employeesâ€™ 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 Codeâ€™s investment and securities account restrictions, and new employees must comply with those investment restrictionsâ€"including disposing of any security issued by a company on FINRAâ€™s Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentâ€"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 FINRAâ€™s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companyâ€™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.
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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 personâ€™s relatives, friends or associates.
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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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