Attorney I - Member Regulation, Sales Practice Policy - New York, NY
Location: New York, New York
Description: Finra is looking of Attorney I - Member Regulation, Sales Practice Policy - New York, NY right now, this career will be presented in New York. For complete informations about this career opportunity please read the description below. We Work to Protect Investors. Join our Team.
FINRA is seeking a well-qualified individual for our
A! ttorney I
opening in
New York, NY
. To be considered for this position, please submit your resume through our career site at
www.finra.org/careers
â€" no phone calls, please.
Job Summary:
The Attorney will handle, under the guidance and supervision of senior counsel, various interpretive issues (with an emphasis on FINRA’s Sales Practice rules) and non-disciplinary litigation-related assignments across the entire range of matters handled by Member Regulation (the ‘Department').
This is competent-level professional work in which incumbents are fulfilling their assigned roles, applying their job skills, and working under close supervision.
Essential Job Functions:
Working closely with senior counsel, provide interpretative advice to Member Regulation staff, FINRA membership, and other interested parties with respect to FINRA's rules.
Working closely with senior counsel, ! provide regulatory guidance with respect to the federal securi! ties laws and the rules and regulations thereunder.
Draft legal and policy memoranda, letters, and other documents relating to the interpretation and administration of securities laws, rules, and regulations as well as to decisions of regulatory and quasi-judicial bodies.
Support and administer FINRA’s Statutory Disqualification Program by drafting recommendations pursuant to the FINRA Rule 9520 Series.
Support the administration of RSA and 17d-2 agreements executed with other SROs by providing analysis of pertinent rules that are part of such agreements.
Working closely with senior counsel, support Member Regulation’s non-disciplinary litigation program (e.g., conduct legal research and draft appellate briefs, memorandums of law, discovery responses, and motions to dismiss; participate in the preparation of hearing exhibits to ensure that they are persuasive and sufficient to support the decisions rendered by the Department).
Represent Member Regulation in matters of common interest with the Office of General Counsel and the Department of Enforcement.
Perform special projects as assigned.
Qualifications
Education/Experience Requirements:
Law degree and admission to the bar of the highest court of any state or the District of Columbia.
At least two years of relevant experience with general knowledge of SRO rules and the federal securities laws, plus general knowledge of the rules of evidence.
Excellent oral/written communication, analytical and advocacy skills and attention to detail (i.e., ability to draft highly ! detailed formal documents that are thoroughly researched, carefully ana! lyzed, correctly formatted and properly cited).
Quick-Study/Self-Starter who can work both independently and with others to advance complex projects.
Proficiency with the use of a PC using the full suite of electronic office product applications.
Working Conditions:
Work is normally performed in an office environment.
Occassional travel may be required.
Extended hours are frequently required.
Work environment includes high productivity and expectations with tight deadlines.
To be considered for this position, please submit a cover letter and resume.
A writing sample may be required as part of the submission.
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.
Please note: If the “Apply Now†button on a job ! board posting does not take you directly to the FINRA Careers site, enter
www.finra.org/careers
into your browser to reach our site directly.
FINRA strives to make our career site accessible to all users. If 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.
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 intelli! gence, integrity and initiative, consider a career with FINRA.
! Please note:
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. As standard practice, employees must also complete FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism.
About FINRA
The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s mission is to protect America’s investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.
FINRA’s independent regulation plays a critical role in America’s financial system and touches virtually every aspect of the securi! ties businessâ€"from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.
FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.
In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.
Find out more about us! and how we workâ€"and view our current openingsâ€"at
www.finr! a.org/careers
.
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
©2013 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
- .
If you were eligible to this career, please email us your resume, with salary requirements and a resume to Finra.
Interested on this career, just click on the Apply button, you will be redirected to the official website
This career starts available on: Wed, 05 Jun 2013 23:08:38 GMT
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