Provides paralegal support to Ethics Office attorneys and senior management. This position works independently on advisory and investigation related assignments under the supervision of the Ethics Office attorneys.
Essential Job Functions:
Drafts correspondence, summaries of advisory consultations, responds to non-complex policy inquiries, prepares analysis of points of law (e.g., FINRA's Revolving Door Rules and OGE regulations), provides editorial reviews for policy and training materials, prepares metrics, for the review, approval, and use by attorneys.
Supports attorneys by proofreading, editing, formatting and finalizing legal documents through to execution, at all times exhibiting a diligent and meticulous approach to detail.
Tracks performance and drafts summary outcomes of programs monitored by Ethics attorneys
Assists with Advisory and investigations case management and EthicsPoint administration activities.
Assists in drafting and maintaining written procedures; assists in identifying and implementing process improvements.
Demonstration of FINRA’s values.
Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
Other Responsibilities:
Provides also assistance to Ethics Office senior management, other functions within the Ethics office and the Ethics and Compliance Office, as needed.
Education/Experience Requirements:
Bachelor’s degree; and paralegal certificate, or the equivalent, preferred.
Three - four years of legal office experience as a paralegal.
Experience working in a legal compliance or ethics program, preferably in a regulatory environment; corporate ethics and compliance program inclusive of Helpline experience, preferred.
Excellent writing and editing skills required.
Excellent planning, organization, and communication skills required.
Proficiency in MS Office Suite products (including Word, Outlook, Excel, and PowerPoint) and electronic legal libraries required.
Work Conditions:
Must use a desktop computer daily. Some extended hours may be required.
Hybrid work environment, with defined in-person presence requirements.
Must possess ability to work under pressure, meet deadlines, and juggle multiple tasks efficiently and accurately.
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
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.
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.
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 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 FINRA’s Employee Relations team at 240-386-4865 or by email at EmployeeRelations@FINRA.org. 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.
©2026 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
#J-18808-Ljbffr
Essential Job Functions:
Drafts correspondence, summaries of advisory consultations, responds to non-complex policy inquiries, prepares analysis of points of law (e.g., FINRA's Revolving Door Rules and OGE regulations), provides editorial reviews for policy and training materials, prepares metrics, for the review, approval, and use by attorneys.
Supports attorneys by proofreading, editing, formatting and finalizing legal documents through to execution, at all times exhibiting a diligent and meticulous approach to detail.
Tracks performance and drafts summary outcomes of programs monitored by Ethics attorneys
Assists with Advisory and investigations case management and EthicsPoint administration activities.
Assists in drafting and maintaining written procedures; assists in identifying and implementing process improvements.
Demonstration of FINRA’s values.
Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
Other Responsibilities:
Provides also assistance to Ethics Office senior management, other functions within the Ethics office and the Ethics and Compliance Office, as needed.
Education/Experience Requirements:
Bachelor’s degree; and paralegal certificate, or the equivalent, preferred.
Three - four years of legal office experience as a paralegal.
Experience working in a legal compliance or ethics program, preferably in a regulatory environment; corporate ethics and compliance program inclusive of Helpline experience, preferred.
Excellent writing and editing skills required.
Excellent planning, organization, and communication skills required.
Proficiency in MS Office Suite products (including Word, Outlook, Excel, and PowerPoint) and electronic legal libraries required.
Work Conditions:
Must use a desktop computer daily. Some extended hours may be required.
Hybrid work environment, with defined in-person presence requirements.
Must possess ability to work under pressure, meet deadlines, and juggle multiple tasks efficiently and accurately.
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
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.
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.
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 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 FINRA’s Employee Relations team at 240-386-4865 or by email at EmployeeRelations@FINRA.org. 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.
©2026 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
#J-18808-Ljbffr