Senior Attorney, Compliance

Employment Type

: Full-Time


: Miscellaneous

The objectives of ECO are to help protect FINRA as 'the second line of defense' in FINRA's compliance responsibilities, to create policies and procedures to help ensure that FINRA's employees act with integrity and in an ethical manner, and to help ensure that FINRA responds diligently to supervisory reviews and findings.Essential Job Functions:Under the general direction of ECO management, assist in the creation, planning, prioritization, and implementation of strategies for building FINRA's overall Compliance Program, to include development of various aspects of the program over time as the program evolves, including enterprise compliance, risk assessment and testing, policies, procedures and training, ad-hoc legal and compliance issues, and regulatory change management, among others.* Assist in the design, promotion and implementation of policies and procedures across the operating departments, as well as quality assurance testing of these policies and procedures.* Assist in the design and implementation of both enterprise-wide and targeted training regarding legal and compliance topics based on trends across the company and SROs generally.* Together with ECO management, respond to legal and compliance issues that are escalated to the ECO and logs interactions in accordance with Office procedures.* Evaluate and provide interpretive guidance to employees regarding regulatory compliance issues.* Draft compliance-related guidance materials.* Conduct comprehensive legal and compliance research and reviews into matters of regulatory policy and compliance as necessary to, among other things (1) develop compliance plans, and (2) respond to compliance issues and concerns.* Supports ECO management in developing guidance materials, works closely with senior and mid-level managers in the regulatory departments regarding compliance procedures, evaluating inquiries and providing guidance to regulatory departments regarding regulatory compliance.* Perform data entry to capture critical information supporting ECO's programs; and analyze data to make recommendations ECO's program.* Provide support for ECO management on the drafting of reports to the CCO, the Office of the Chief Legal Officer, the Office of the CEO, FINRA's senior management committees and the Audit Committee of the Board of Governors on FINRA's annual compliance priorities and the effectiveness of FINRA's compliance program.* Participates in, and organizes documentation for, responses to internal and external requests.* Works closely with other ECO team members on all activities associated with the compliance programs, as directed by the ECO management team.* Assist in other legal and compliance initiatives, as needed.Other Responsibilities:* Draft communications for ECO.* Participate in ad hoc special projects and initiatives, as requested.Education/Experience Requirements:* Law degree from an accredited law school, admission to a bar, and a minimum of 2 years legal or compliance experience at a law firm, financial institution, government agency or self-regulatory organization or similar experience.* Knowledge of securities industry rules and regulations, financial markets, and brokerage firm operations is desirable.* Excellent oral and written communication skills.* Excellent critical thinking, research and analytical skills.* Must have demonstrated experience effectively managing multiple deadlines and priorities; excellent organizational skill is required.* Ability to function effectively in a team environment is required.Working Conditions:* Work is normally performed in an office environment.* Occasional travel required.* Work outside normal business hours sometimes requiredTo 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 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.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 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.©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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