FINRA Legal Extern, Enforcement (UNPAID)
Company: Financial Industry Regulatory Authority, Inc.
Posted on: August 6, 2022
Legal externs work closely with Enforcement's attorneys,
investigators and management to assist Enforcement in investigating
and determining whether FINRA regulated firms and/or associated
individuals violated the federal securities laws or FINRA, NASD, or
MSRB rules. Externs perform a variety of tasks including legal
research and writing, document review, as well as assisting staff
to prepare for investigative testimony and hearings. Externs also
have the opportunity to observe on-the-record interviews and
settlement negotiations, and to attend topical lectures.
Term of Position
* Spring: January - April
* Summer: May - July/August
* Fall: September - December
* Graduate student pursuing JD or LLM
* Securities law related course work and/or knowledge of securities
law or brokerage regulations are not required, but preferred
* Securities industry experience is a plus
* Strong writing, analysis and research skills
* Strong work ethic, positive attitude and professional
* Ability to work with others to meet deadlines
* Ability to perform multiple tasks efficiently and accurately
Fall and Spring externs must work a minimum of 12 hours weekly.
Summer externs must be able to work at least 35 hours per week.
Externs must earn current course credits (determined by school) and
cannot work purely as a volunteer. FINRA requires at least one
Applicants must submit a:
* Current resume
* Current transcript
* Legal writing sample
* Cover letter explaining your interest in the externship,
preferred posting location, and the qualifications making you an
* All required documents aforementioned must be uploaded prior to
submitting your application
All successful applicants will be required to pass a drug screening
test and a minimal background check prior to starting the
Legal externs will not be eligible for permanent attorney positions
following graduation. The FINRA Enforcement Department generally
only hires experienced attorneys into permanent positions.
To be considered for this position, please submit an
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
Please note: If the "Apply Now" button on a job board posting does
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you need a disability-related accommodation for completing the
application process, please contact FINRA's accommodation help line
at 240.386.4865. Please note that this number is exclusively for
inquiries regarding application accommodations.
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.
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
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
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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the Financial Industry Regulatory Authority, Inc.
Keywords: Financial Industry Regulatory Authority, Inc., New Rochelle , FINRA Legal Extern, Enforcement (UNPAID), Legal , Jericho, New York
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