Assistant General Counsel, Office of Disciplinary Affairs

Essential Job Functions:

• Authorize formal disciplinary complaints to be filed by the Department of Enforcement pursuant to the Codes of Procedure of FINRA and SRO clients under the terms of Regulatory Services Agreements.
• Accept pre- and post-complaint settlements of formal disciplinary actions and Minor Rule Violation letters by delegated authority from FINRAs National Adjudicatory Council and designated SRO clients.
• Perform independent objective and rigorous review of cases submitted to ODA to ensure legal sufficiency of charges and fairness and consistency in FINRA actions and those of SRO clients.
• Demonstrate proficiency and independence at performing the functions of ODA including the critical review of advanced levels of proposed disciplinary actions.
• Exhibit and maintain an expertise in one or more particular legal and regulatory subject matters.
• Offer and provide training and guidance regarding legal policy and procedural issues to staff in other departments and to colleagues in ODA both formally and on an ongoing basis in routine and frequent interactions with individual staff members.
• Coordinate and collaborate with ODA attorney colleagues on a continuous basis to ensure an efficient and consistent approach to reviewing cases.
• Enter information into FINRA database to document review and approval of disciplinary actions and to provide data for internal legal and statistical research and to be used for external reporting.
• Initiate and participate in special projects as assigned both internal to ODA and in collaboration with other departments. Remain flexible in responding to a variable workflow and responsive to requests for expedited review often on short notice.
• Demonstration of FINRAs values.
• Collaboration both in-person and virtually in furtherance of FINRAs mission of investor protection and market integrity.

Education/Experience Requirements:

• A law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements

• At least eight years of relevant legal experience

• Proficient knowledge and understanding of federal securities laws and relevant SRO rules

• Demonstrated excellent oral and written communication and critical reading and editing skills

• Excellent interpersonal skills

• Experience in securities enforcement or disciplinary program at a regulatory agency

Work Conditions:

• Hybrid work environment with defined in-person presence requirements

• Occasional travel and extended hours may be required

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 addition to location actual compensation is based on various factors including but not limited to the candidates skill set level of experience education and market considerations.

CO/FL/TX: Minimum Salary $131100 Maximum Salary $254000

IL/PA: Minimum Salary $144000 Maximum Salary $279500

MA/MD/VA/Washington DC: Minimum Salary $150600 Maximum Salary $292300

NY/NJ: Minimum Salary $150600 Maximum Salary $305000

#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.

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Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal state or local law. As part of its dedication to employee wellness FINRA provides comprehensive health dental and vision insurance. Additional insurance includes basic life accidental death and dismemberment supplemental life spouse/domestic partner and dependent life and spouse/domestic partner and dependent accidental death and dismemberment short- and long-term disability long-term care business travel accident disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution tuition reimbursement commuter benefits and other benefits that support employee wellness such as adoption assistance backup family care surrogacy benefits employee assistance and wellness programs.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways including through a generous time-off program of 15 days of paid time off 5 personal days and 9 sick days unless otherwise required by law (all pro-rated in the first year). Additionally we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave jury duty leave bereavement leave voting and election official leave for federal state or local primary and general elections care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

Important Information

FINRAs 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 Codes investment and securities account restrictions and new employees must comply with those investment restrictionsincluding disposing of any security issued by a company on FINRAs Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby 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 FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys 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 Employer

All qualified applicants receive consideration for employment without regard to any legally protected category including race color age national origin ethnicity religion disability genetic information military or veteran status sex or any other status or classification protected by state or local law.

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 FINRAs Employee Relations team at or by email at . Please note that this process is exclusively for inquiries regarding accommodations in the application process.

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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