Qureos Mentor

FINRA

<div></div><div>Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.<div></div><div>
Essential Job Functions:</div><ul><li>
This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties.</li><li>
Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee.</li><li>
Collaborates with internal departments to analyze, communicate and make recommendations with respect to regulatory intelligence.</li><li>
Mentor and coach more junior level risk monitoring staff.</li><li>
Serve in leadership roles related to special projects and technology initiatives.</li><li>
Ability to perform as part of a team conducting monitoring (including coordination with specialists) to execute against risks of assigned firms.</li></ul><div></div><div>
Education/Experience Requirements:</div><ul><li>
Bachelor's Degree in Finance, Accounting, Business or related field(s), or equivalent combination of education and relevant experience required. Graduate degree (MBA or JD) and/or relevant industry certification(s) preferred.</li><li>
Demonstrated analytical skills and experience, including financial industry, absorbing/processing regulatory developments and applying them to complex business models.</li><li>
Demonstrated experience relating to one or more of the inherent industry risks (e.g. Fraud and Deception, Money Laundering, and Market).</li></ul><div></div><div>
Knowledge Requirements:</div><ul><li>
Advanced knowledge of FINRA's risk fundamentals.</li><li>
Intermediate-to-Advanced knowledge of securities rules and regulations.</li><li>
Intermediate-to-Advanced knowledge of firm business models, business lines, customer bases, products and services.</li><li>
Intermediate knowledge of U.S. GAAP accounting standards.</li></ul><div></div><div>
Skill Requirements:</div><ul><li>
Ability to engage and work effectively with senior business management, across departments, and with staff in multiple locations, including partnering and collaborating with various internal departments for the identification and trending of industry and business model risks for summation and reporting to senior management.</li><li>
Intermediate written and verbal communication, financial analysis, and research skills.</li><li>
Self-starter with ability to administer complex assignments concurrently, including unstructured assignments that require autonomy and independent judgment.</li><li>
Intermediate-to-Advanced ability to analyze internal and external data to assess inherent risks of member firms and develop regulatory responses to address higher risk areas.</li><li>
Be proactive &amp; solutions-oriented; innovative; collaborative and energized by the open exchange of ideas.</li><li>
Intermediate-to-Advanced level proficiency in Microsoft Excel and Microsoft Word.</li><li>
Intermediate-to-Advanced quantitative, analytical, problem solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.</li></ul><div></div><div>
For work that is performed in CA, CO, IL, Jersey City, NJ, New York City, NY, MA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate&rsquo;s skill set, level of experience, education, and internal peer compensation comparisons.</div><div></div><div>
CA: Minimum Salary $109,600, Maximum Salary $206,200</div><div>
CO*: Minimum Salary $95,300, Maximum Salary $171,800</div><div>
IL*: Minimum Salary $104,900, Maximum Salary $189,400</div><div>
Jersey City, NJ/NYC, NY: Minimum Salary $114,300, Maximum Salary $206,200</div><div>
MA: Minimum Salary $95,300, Maximum Salary $197,600</div><div>
MD/Washington, DC: Minimum Salary $109,600 Maximum Salary $197,600</div><div>
NJ State: Minimum Salary $104,900, Maximum $206,200</div><div>
NY State: Minimum Salary $95,300, Maximum Salary $206,200</div><div></div><ul><li>Including positions performed outside the state but reporting to an office or manager in that state.</li></ul><div></div><div>
Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.</div><div></div><div>
#LI-Hybrid</div><div></div><div>
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.</div><div></div><div><i>
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.</i></div><div></div><div><i>
Please note: If the &ldquo;Apply Now&rdquo; button on a job board posting does not take you directly to the FINRA Careers site, enter </i><i>www.finra.org/careers</i><i> into your browser to reach our site directly.</i></div><div></div><div>
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 <div>EmployeeRelations@finra.org.</div> Please note that this process is exclusively for inquiries regarding application accommodations.</div><div></div><div>
Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.</div><div></div><div>
Time Off and Paid Leave*</div><div></div><div>
FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.</div><div></div><ul><li>Based on full-time schedule</li></ul><div></div><div>
Important Information</div><div></div><div>
FINRA&rsquo;s Code of Conduct imposes restrictions on employees&rsquo; 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&rsquo;s investment and securities account restrictions, and new employees must comply with those investment restrictions&mdash;including disposing of any security issued by a company on FINRA&rsquo;s Prohibited Company List or obtaining a written waiver from their Executive Vice President&mdash;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.</div><div></div><div><br>
As standard practice, employees must also execute FINRA&rsquo;s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company&rsquo;s policy on nepotism.</div><div></div><div>
Search Firm Representatives</div><div></div><div>
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.</div><div></div><div>
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 <div>EmployeeRelations@finra.org.</div> Please note that this process is exclusively for inquiries regarding application accommodations.</div><div></div><div>
All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws.</div><div></div><div>
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.</div><div></div><div>
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.</div></div><div></div>

Principal Analyst, Risk Monitoring

<div></div><div>Provides paralegal support to include drafting correspondence, reviewing and responding to subpoenas and information requests. Conducts legal research and proofreads legal documents as assigned.<div></div><div>
Are you looking for purpose and meaning in your work? Does the idea of working for a financial regulator speak to your moral compass?</div><div></div><div>
As a not-for-profit entity, FINRA operates under the oversight of the SEC and sits at the nexus of broker-dealers, policymakers and investors. Because of this structure, FINRA is uniquely positioned to stimulate vibrant markets that protect investors, ensure robust trading activity, foster liquidity, and support innovation and growth.</div><div></div><div>
FINRA is hiring a paralegal with strong technical skills including Relativity.</div><div>
Daily use of Relativity is a critical component of this role.
</div><div></div><div>Essential Job Functions:</div><div></div><ul><li>
Reviews, organizes, and tracks court, arbitration and administrative subpoena requests and files.</li><li>
Researches legal and regulatory sources to locate decisions and responsive documents.</li><li>
Assembles, organizes, duplicates, and disseminates legal materials in response to subpoenas.</li><li>
Drafts correspondence and legal documents, such as record certifications for the corporate secretary and other corporate officers.</li><li>
Proofread, edit, format and finalize legal documents.</li><li>
Categorizes, maintains, and stores legal records and information.</li><li>
Maintains document and electronic files.</li><li>
Receives and responds to inquiries from internal and external constituents regarding legal matters.</li></ul><div></div><div>
You'll work in one of our beautiful offices 3x week, DC/Tyson's corner.</div><div></div><div>
Education/Experience Requirements:</div><ul><li>
Bachelor&rsquo;s degree preferred and paralegal certificate.</li><li>
One year of legal office experience.</li><li>
Familiarity using a computer with the full suite of electronic office product applications and electronic discovery.</li><li>
Excellent planning, organization, and communication skills.</li><li>
Strong writing and editing skills.</li><li>
Will need to be able to work in internal electronic databases.</li></ul><div></div><div>
Work Conditions:</div><ul><li>
Normal office cubicle environment including regular use of computer and telephone.</li><li>
Limited requirement to travel outside the local area.</li><li>
Some overtime may be required.</li></ul><div></div><div>
For work that is performed in CA, CO, IL, Jersey City, NJ, New York City, NY, MA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate&rsquo;s skill set, level of experience, education, and internal peer compensation comparisons.</div><div></div><div>
CA: Minimum Hourly Rate $33.90, Maximum Hourly Rate $62.70<br>
CO*: Minimum Hourly Rate $29.48, Maximum Hourly Rate $52.26</div><div>
IL*: Minimum Hourly Rate $32.60, Maximum Hourly Rate $57.46<br>
Jersey City, NJ/NYC, NY: Minimum Hourly Rate $35.35, Maximum Hourly Rate $62.70</div><div>
MA: Minimum Hourly Rate $29.48, Maximum Hourly Rate $60.00</div><div>
MD/Washington, DC: Minimum Hourly Rate $33.90, Maximum Hourly Rate $60.00</div><div>
NJ State: Minimum Hourly Rate $32.60, Maximum Hourly Rate $62.70</div><div>
NY State: Minimum Hourly Rate $29.48, Maximum Hourly Rate $62.70</div><div></div><ul><li>Including positions performed outside the state but reporting to an office or manager in that state.</li></ul><div></div><div>
Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.</div><div></div><div>
#LI-hybrid</div><div></div><div>
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.</div><div></div><div><i>
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.</i></div><div></div><div><i>
Please note: If the &ldquo;Apply Now&rdquo; button on a job board posting does not take you directly to the FINRA Careers site, enter </i><i>www.finra.org/careers</i><i> into your browser to reach our site directly.</i></div><div></div><div>
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 <div>EmployeeRelations@finra.org.</div> Please note that this process is exclusively for inquiries regarding application accommodations.</div><div></div><div>
Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.</div><div></div><div>
Time Off and Paid Leave*</div><div></div><div>
FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.</div><div></div><ul><li>Based on full-time schedule</li></ul><div></div><div>
Important Information</div><div></div><div>
FINRA&rsquo;s Code of Conduct imposes restrictions on employees&rsquo; 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&rsquo;s investment and securities account restrictions, and new employees must comply with those investment restrictions&mdash;including disposing of any security issued by a company on FINRA&rsquo;s Prohibited Company List or obtaining a written waiver from their Executive Vice President&mdash;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.</div><div></div><div><br>
As standard practice, employees must also execute FINRA&rsquo;s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company&rsquo;s policy on nepotism.</div><div></div><div>
Search Firm Representatives</div><div></div><div>
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.</div><div></div><div>
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 <div>EmployeeRelations@finra.org.</div> Please note that this process is exclusively for inquiries regarding application accommodations.</div><div></div><div>
All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws.</div><div></div><div>
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.</div><div></div><div>
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.</div></div><div></div>

Paralegal, Litigation

<div></div><div>The Counsel for Discovery &amp; Litigation is responsible for handling the docket of information requests received by FINRA, its officers, and its employees, including third-party subpoenas issued in arbitration proceedings, and civil and criminal litigation cases. The Counsel exercises legal judgment under limited supervision to respond to information requests, preserve privileges, and protect the confidentiality of FINRA information.<div></div><div>
Are you looking for purpose and meaning in your work? Does the idea of working for a financial regulator speak to your moral compass?</div><div></div><div>
As a not-for-profit entity, FINRA operates under the oversight of the SEC and sits at the nexus of broker-dealers, policymakers and investors. Because of this structure, FINRA is uniquely positioned to stimulate vibrant markets that protect investors, ensure robust trading activity, foster liquidity, and support innovation and growth.</div><div></div><div>
FINRA is seeking an experienced attorney to join our Discovery and Litigation team within the Office of General Counsel. The ideal candidate will have strong proficiency with Relativity e-discovery software and excel at managing the complex requirements of subpoena processing.</div><div></div><div>
This position is based in either our Washington, DC or Tysons Corner, VA office, with a hybrid work arrangement requiring in-office presence three days per week.</div><div></div><div>
Essential Job Functions:</div><ul><li>
Handles docket of information requests received by FINRA to include determining complexity of request, identifying applicable objections, and responding to information requests.</li><li>
Exercises strong analytical, research, and legal skills to assess scope of requests and to identify potentially responsive documents.</li><li>
Interprets federal, state, and local rules, regulations, and statutes governing information requests issued in legal proceedings.</li><li>
Prepares written documents related to the requests, including response letters, production letters, and oppositions to motions to compel.</li><li>
Negotiates scope of information requests and represents FINRA in litigation matters related to information requests.</li><li>
Locates, gathers, reviews, and prepares documents for production in response to document requests.</li><li>
Conducts legal research and prepares written work product to support legal advice provided to internal departments.</li><li>
Prepares reports and analyzes statistical data upon request.</li></ul><div></div><div>
Other Responsibilities</div><ul><li>
Increases efficiency and effectiveness of procedures related to processing document requests.</li></ul><div></div><div>
Education/Experience Requirements:</div><ul><li>
Law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements.</li><li>
Minimum of four years of document review or related legal work required.</li><li>
Basic knowledge of FINRA and the securities industry preferred.</li><li>
Requires understanding of the Federal Rules of Civil Procedure and demonstrates an ability to analyze and interpret other rules, regulations, and laws.</li><li>
Requires understanding of privileges and legal standards applicable to information requests.</li><li>
Advanced oral and written communication skills.</li><li>
Advanced competency in Relativity, Adobe, Microsoft Office applications, and other electronic office systems.</li></ul><div></div><div>
Work Conditions:</div><ul><li>
Work is normally performed in a hybrid environment, requiring both in person attendance and remote work.</li><li>
Travel and court appearances may be required.</li><li>
Extended hours may be required upon short notice.</li></ul><div></div><div>
For work that is performed in CA, CO, IL, Jersey City, NJ, New York City, NY, MA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate&rsquo;s skill set, level of experience, education, and internal peer compensation comparisons.</div><div></div><div>
CA: Minimum Salary $109,600, Maximum Salary $206,200</div><div>
CO*: Minimum Salary $95,300, Maximum Salary $171,800</div><div>
IL*: Minimum Salary $104,900, Maximum Salary $189,400</div><div>
Jersey City, NJ/NYC, NY: Minimum Salary $114,300, Maximum Salary $206,200</div><div>
MA: Minimum Salary $95,300, Maximum Salary $197,600</div><div>
MD/Washington, DC: Minimum Salary $109,600 Maximum Salary $197,600</div><div>
NJ State: Minimum Salary $104,900, Maximum $206,200</div><div>
NY State: Minimum Salary $95,300, Maximum Salary $206,200</div><div></div><ul><li>Including positions performed outside the state but reporting to an office or manager in that state.</li></ul><div></div><div>
Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.</div><div></div><div>
#LI-Hybrid</div><div></div><div>
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.</div><div></div><div><i>
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.</i></div><div></div><div><i>
Please note: If the &ldquo;Apply Now&rdquo; button on a job board posting does not take you directly to the FINRA Careers site, enter </i><i>www.finra.org/careers</i><i> into your browser to reach our site directly.</i></div><div></div><div>
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 <div>EmployeeRelations@finra.org.</div> Please note that this process is exclusively for inquiries regarding application accommodations.</div><div></div><div>
Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.</div><div></div><div>
Time Off and Paid Leave*</div><div></div><div>
FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.</div><div></div><ul><li>Based on full-time schedule</li></ul><div></div><div>
Important Information</div><div></div><div>
FINRA&rsquo;s Code of Conduct imposes restrictions on employees&rsquo; 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&rsquo;s investment and securities account restrictions, and new employees must comply with those investment restrictions&mdash;including disposing of any security issued by a company on FINRA&rsquo;s Prohibited Company List or obtaining a written waiver from their Executive Vice President&mdash;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.</div><div></div><div><br>
As standard practice, employees must also execute FINRA&rsquo;s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company&rsquo;s policy on nepotism.</div><div></div><div>
Search Firm Representatives</div><div></div><div>
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.</div><div></div><div>
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 <div>EmployeeRelations@finra.org.</div> Please note that this process is exclusively for inquiries regarding application accommodations.</div><div></div><div>
All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws.</div><div></div><div>
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.</div><div></div><div>
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.</div></div><div></div>

Counsel, Discovery & Litigation

Join FINRA and explore 3   exciting career opportunities. They're hiring for various roles with options for remote or on-site work. Apply today and become part of their innovative team.

FINRA

ABOUT_COMPANY

Principal Analyst, Risk Monitoring

Paralegal, Litigation

Counsel, Discovery & Litigation