Description

Are you looking for purpose and meaning in your work? Does the idea of working for a regulator speak to your moral compass?

As a not-for-profit entity, FINRA operates under the oversight of the SEC and sits at the nexus of broker-dealers, policymakers and investors. Because of this structure, FINRA is uniquely positioned to stimulate vibrant markets that protect investors, ensure robust trading activity, foster liquidity, and support innovation and growth.

FINRA is hiring a Senior Paralegal in our appellate group.

The Senior Paralegal in Appellate provides paralegal and administrative support for the department’s legal and compliance function. Reviews and processes documentation regarding adjudications, legal filings and research. Updates internal case management systems and conducts research. Monitors and helps meet the organization's compliance requirements in areas of expertise. This position is a professional individual contributor who works under close supervision.

Essential Job Functions:

• Compiles research for assigned cases, reviews the accuracy of legal documents and filings, performs investigative tasks, and adheres to internal standards that ensure the proper documentation and maintenance of legal filings and other records.
• Drafts legal documentation, generates docket and activity reports, and maintains internal legal systems, under direct supervision, to ensure organizational compliance requirements are met.
• Analyzes relevant legal documents and organizational policies and procedures to improve individual knowledge of internal standards and applicable regulatory requirements.
• Conducts basic assessments and analyses of organizational procedures, requirements, and internal legal management systems, and provides recommendations to department leadership.
• Addresses general inquiries regarding FINRA rules and procedures from other departments and the general public.
• Plans committee meetings and oral arguments, including compiling meeting materials and coordinating with third-party vendors. 
• Follows area protocols, standards, and policies.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Proficiency in Bluebook legal citation format is required for this role. The position involves preparing litigation documents and supporting attorneys with case filings, all of which demand strong Bluebook citation skills.

***Please ensure that your resume properly reflects these skills.***

Education/Experience Requirements:

• Bachelor’s degree or equivalent and a minimum of four (4) years of relevant experience.

• Paralegal Certificate a plus. 

• Excellent planning and organization skills.

• Excellent written and oral communication skills.

• Knowledge and experience with legal research databases (Lexis and Westlaw).

• Knowledge of Microsoft 365, Adobe Acrobat Pro, docket management system preferred.

Working Conditions:

• Hybrid work environment, with defined in-person presence requirements.

• Overtime 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 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