Regulatory Compliance Paralegal

Employer
FINRA
Location
Washington, DC
Posted
Oct 17, 2020
Closes
Oct 30, 2020
Ref
1342695120
Industry
Law
Hours
Full Time
Supports OGC Regulatory attorneys in connection with the complete life cycle of the adoption of new regulatory initiatives. Applies substantial analytical skills regarding various rules and regulatory requirements to ensure that regulatory filings are properly managed and administered. Regularly works on sustained, unsupervised projects. Trains or oversees Level 45/44 regulatory analysts in performing similar job functions.Essential Job Functions:Assists OGC Regulatory attorneys in the drafting of rule filings for submission to the SEC by ensuring that all filings are prepared in accordance with required format, free of obvious errors and appropriately cited. Updates the FINRA Rule Filing Template as needed in response to SEC rules and procedures.Performs in-depth research on regulatory issues raised under federal securities laws and regulations, FINRA rules and other relevant market rules. Drafts well-written legal memoranda, comment summaries and responses to comments, displaying advanced understanding of FINRA rules and procedures.Monitors timeframes for completion of projects, publication of Regulatory Notices, status of projects, resolution of issues and responsible parties. These reports are regularly distributed to Senior Management. Attends staff meetings and updates charts to reflect items scheduled for Board meetings.Develops and maintains tracking systems and reports for various regulatory functions such as rule filing comment periods, Regulatory Notices, interpretative letters, etc. Generates monthly status reports of outstanding issues and requests. Creates new statistical and complex tracking reports as needed. Tracks and monitors securities regulation issues before the Board of Governors, SEC and Congress.Aids in coordinating work with the Office of the Chief Economist to ensure draft documents relating to economic impact assessments of rulemakings are appropriately incorporated.Responds to general inquiries regarding FINRA rules and procedures from other departments and the general public. These inquiries often require substantial knowledge base of rules and procedures.Other Responsibilities:Reviews rule filings, exemptions and interpretative request decisions before posting to FINRA website.Supports the Appellate attorneys when necessary with legal research and other tasks, as assigned.Keeps abreast of and analyzes SEC, industry and other self-regulatory organization initiatives.Performs other level-appropriate duties, as assigned.Education/Experience Requirements:Bachelors degree and paralegal certificate or equivalent.Five to six years of relevant experience with FINRA, or equivalent regulatory experience.Knowledge of Microsoft Office required; knowledge of SharePoint preferred.Excellent oral and written communication skills.Excellent judgment and interpersonal skills.Working Conditions:Work is normally performed in an office environment.Occasional travel and extended hours may be required.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.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 FINRAs 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 intelligence, integrity and initiative, consider a career with FINRA.Important InformationFINRAs 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 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 persons 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 abid

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