Associate, HONORS Program

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.

Application Process
Applicants must submit a:
• Current resume.
• Cover letter explaining your interest in the program, preferred posting location, and the qualifications making you an appropriate candidate.
• Current transcript and legal writing sample will be required if selected for an interview.

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.

Other Responsibilities:

• Assists with other projects as assigned.

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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.

Working Conditions:

• Work is normally performed in an office environment.
• Extended hours may be required.

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 and be licensed to practice law in the appropriate jurisdiction(s) based on applicable state bar requirements.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed salary range for the corresponding location. In