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Paralegal, Appellate (Rockville or DC) (Open)

Provides paralegal support for the adjudicatory processes of the National Adjudicatory Council (“NAC”), to include preparing and maintaining records and hearing kits, drafting correspondence, summarizing transcripts, and scheduling hearings.

Essential Job Functions:

  • Responsible for all aspects of FINRA disciplinary proceedings appealed to or reviewed by the NAC. Manages individual case assignments and may support more senior paralegals or case administrators with aspects of statutory disqualification proceedings such as scheduling hearings, preparing attachments for decisions and redacting decisions.
  • Reviews records received from the Office of Hearing Officers (“OHO”), and maintains the case files while they are on appeal or review. Reviews materials for accuracy and completeness prior to submitting them to the NAC hearing subcommittee and attorney advisor in a timely manner. Analyzes assigned cases for accuracy and completeness, and for the purpose of anticipating and resolving issues of sufficiency of pleadings and other procedural and legal issues. Ensures the accuracy of the master record of the proceeding in both electronic and paper format. 
  • Prepares the hearing kits for NAC Subcommittees and certified records for submission to the Securities and Exchange Commission (“SEC”) when NAC decisions are appealed.
  • Enlists qualified persons to serve on Hearing Panels, advising them of the nature and procedural posture of the proceeding and ensuring that they do not have any disqualifying conflicts of interest. Functions as the liaison between parties and the NAC Hearing Subcommittee and attorney advisor to answer procedural questions and facilitate resolution of pre-hearing matters with parties or counsel.
  • Drafts various appeal letters, orders and notices for the attorney advisor, case summary documents for the Red Kit; and, memoranda for the Review Subcommittee of the NAC. Researches regulatory issues raised under federal securities regulations, FINRA rules, and other relevant market rules and may draft summaries of legal research assignments. Cite-checks and shepardizes legal briefs, motions and decisions, and prepares Tables of Authorities for briefs to the SEC.
  • Updates docket and other databases in accordance with OGC requirements, assuring the ongoing ability to access, edit, research, and accurately report data as required.
  • Responds to general inquiries regarding FINRA rules and procedures from other departments and the general public.

Other Responsibilities:

  • May assist regulatory attorneys in locating documents and performing miscellaneous legal research, and perform other tasks as assigned.

Education/Experience Requirements:

  • Bachelor’s degree and a minimum of two years of relevant legal experience.  
  • Paralegal certificate a plus.
  • Familiarity with SEC and FINRA Rules a plus.
  • Knowledge of legal research databases and cite-checking.
  • Strong writing, research, and communication skills.
  • Proficiency with Microsoft software applications.

Working Conditions:

Standard office environment


To be considered for this position, please submit an application. 

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. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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 intelligence, integrity and initiative, consider a career with FINRA.

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 by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by 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.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

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All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

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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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