Senior Paralegal, Ethics

Provides paralegal support to Ethics Office attorneys and senior management. This position works independently on advisory and investigation related assignments under the supervision of the Ethics Office attorneys.

Essential Job Functions:

• Drafts correspondence, summaries of advisory consultations, responds to non-complex policy inquiries, prepares analysis of points of law (e.g., FINRA's Revolving Door Rules and OGE regulations), provides editorial reviews for policy and training materials, prepares metrics, for the review, approval, and use by attorneys.
• Supports attorneys by proofreading, editing, formatting and finalizing legal documents through to execution, at all times exhibiting a diligent and meticulous approach to detail.
• Tracks performance and drafts summary outcomes of programs monitored by Ethics attorneys
• Assists with Advisory and investigations case management and Ethics Point administration activities.
• Assists in drafting and maintaining written procedures; assists in identifying and implementing process improvements.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Other Responsibilities:

• Provides also assistance to Ethics Office senior management, other functions within the Ethics office and the Ethics and Compliance Office, as needed.

Education/Experience Requirements:

• Bachelor’s degree; and paralegal certificate, or the equivalent, preferred.
• Three - four years of legal office experience as a paralegal.
• Experience working in a legal compliance or ethics program, preferably in a regulatory environment; corporate ethics and compliance program inclusive of Helpline experience, preferred.
• Excellent writing and editing skills required.
• Excellent planning, organization, and communication skills required.
• Proficiency in MS Office Suite products (including Word, Outlook, Excel, and PowerPoint) and electronic legal libraries required.

Work

Conditions:

• Must use a desktop computer daily. Some extended hours may be required.
• Hybrid work environment, with defined in-person presence requirements.
• Must possess ability to work under pressure, meet deadlines, and juggle multiple tasks efficiently and accurately.

For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations.

CO/FL/TX:
Minimum Hourly Rate $33.95, Maximum Hourly Rate $60.58

IL/PA:
Minimum Hourly Rate $37.46, Maximum Hourly Rate $66.74
MA/MD/VA/Washington, DC:
Minimum Hourly Rate $39.09, Maximum Hourly Rate $69.72

NY/NJ:
Minimum Hourly Rate $39.09, Maximum Hourly Rate $72.75

#LI-Hybrid

To be considered for this position, please submit an application.
Applications are accepted on an ongoing basis.

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.

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…