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Senior Attorney, Criminal Prosecution

Employer
FINRA
Location
Washington, DC
Closing date
Aug 23, 2022

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Industry
Law
Function
Lawyer and Attorney
Hours
Full Time
Career Level
Experienced (Non-Manager)
Within the Criminal Prosecution Assistance Group ("CPAG"), perform a variety of specific duties, including applying analytical skills to criminal securities law matters. The incumbent mainly provides investigative assistance to CPAG attorneys and staff with criminal matters currently in the investigative, pre-trial, or trial stages in various Federal and State jurisdictions., and, on occasion, performs legal research and writing. Under the supervision of CPAG attorneys, the incumbent will perform basic trading and evidentiary analysis, and will assist with gathering relevant data from internal and external sources.Essential Job Functions:Work directly with federal and state prosecutors and law enforcement agents, performing specific tasks as requested, under the review of senior staff.Analyze blue sheet data, audit trails and brokerage accounts for potential violations of securities laws and regulations, under the review of senior staff.Draft exhibits to support CPAG attorneys' use in trial and grand jury testimony.Research and create legal memoranda on securities and evidentiary issues.Attend and present at law enforcement conferences, roundtables, and training sessions.Other Responsibilities:On occasion, give testimony in grand juries regarding securities laws, markets, and products.Assist CPAG attorneys with their presentations to law enforcement and prosecutors.Occasionally work independently with law enforcement agents and prosecutors.Education/Experience Requirements:Law degree and admission or pending admission to the bar of the highest court of the District of Columbia or state.Two years of related legal experience.Understanding of applicable law, current judicial interpretations.Ability to analyze and present both orally and in writing.Excellent oral and written communication skills.knowledge of securities laws, rules and regulations relevant to litigation is preferred.Some familiarity with federal criminal law and procedure preferred.Knowledge of audit and trading data and account statements preferred.Proficiency with the use of a PC using the full suite of electronic office product applications, particularly Excel and PowerPoint.Working Conditions:Work is normally performed in a hybrid office environment.Occasional travel and extended hours may be required on short notice.#LI-HybridTo 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.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.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 InformationFINRA'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.You can read more about these restrictions here.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.Search Firm RepresentativesPlease 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 EmployerAll 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.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. (C) 2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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