Senior Paralegal - Appellate

    • Washington, DC

Provide legal research and writing support to attorney staff engaged in proposing new and/or amending existing rules and providing interpretive guidance to FINRA members and others.

This is a senior level paralegal position in which paralegals work independently on many projects.

Essential Job Functions:

  • Provide paralegal support to the attorney advisors of the National Adjudicatory Council. This is a senior level paralegal position in which paralegals work independently on many projects.
  • Responsible for all aspects of FINRA disciplinary, membership, and expedited proceedings on appeal to the NAC or SEC.
  • Reviews, analyzes and maintains case files while under review.
  • Acts as liaison between the NAC Subcommittee and parties.
  • Drafts letters, notices, and memoranda. Provides summaries of hearing transcripts.
  • Reviews draft decisions, motions and briefs to ensure legal and factual accuracy to include cite-checking and Bluebooking.
  • Performs advanced legal research and drafts legal memoranda summarizing research,
  • Maintains departmental databases in accordance with OGC requirements, assuring the ongoing ability to access, edit, research, and accurately report data as required.
  • Responds to general inquiries regarding FINRA rules and procedures from other departments and the general public.

Other Responsibilities:
  • Creates statistical reports. Researches and retrieves documents from the SEC. Other tasks as assigned.

Education/Experience Requirements:
  • Bachelor’s degree or equivalent and a minimum of four (4) years of relevant experience. Paralegal Certificate a plus.
  • Excellent planning, organization, and communication skills. Intermediate-level skills working with Microsoft Office applications and legal research databases are required.

Work Conditions:
  • Normal office conditions. Overtime 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.

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 restrictionsâ€"including disposing of any security issued by a company on FINRA’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 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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