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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates strong legal research, writing, and analytical skills while assisting in investigations of securities law violations. Capable of collaborating effectively with enforcement attorneys and investigators in a professional environment.
Highest-signal resume keywords
Legal ResearchWriting SkillsSecurities Law KnowledgeAnalytical SkillsTeam Collaboration
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Legal ResearchDocument ReviewWriting SkillsAnalysisSecurities Law Knowledge
Soft Skills
Strong Work EthicPositive AttitudeProfessional DemeanorAbility to Meet DeadlinesEfficiency
Industry Keywords
FINRAMSRBSecurities RegulationsBrokerage RegulationsExternship
Tech Stack
Tools & technologiesSpring
About the role
Key responsibilities & impact- Assist Enforcement attorneys, investigators and management in investigating whether FINRA-regulated firms or associated individuals violated federal securities laws or FINRA/MSRB rules
- Conduct legal research and writing
- Review documents
- Assist staff in preparing for on-the-record testimony
- Observe on-the-record interviews and settlement negotiations
- Attend departmental meetings
- Participate in trainings designed to build or enhance skills and knowledge
- Complete a January–April spring semester externship
Requirements
What you’ll need- Graduate student pursuing JD or LLM
- Securities law-related coursework and/or knowledge of securities law or brokerage regulations preferred, but not required
- Securities industry experience is a plus
- Strong writing, analysis and research skills
- Strong work ethic, positive attitude and professional demeanor
- Ability to work with others to meet deadlines
- Ability to perform multiple tasks efficiently and accurately
- Must work a minimum of 12 hours weekly during the spring externship
- Must earn current course credits determined by the school
- Must earn at least one course credit; cannot work purely as a volunteer
- Must submit a legal writing sample, current resume, current unofficial transcript and cover letter
- Required to pass a drug screening test and minimal background check before starting the externship
Benefits
Comp & perks- Discretionary bonus may be available to eligible employees
- Overtime pay for non-exempt employees in accordance with applicable law
- Comprehensive health, dental and vision insurance
- Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life insurance
- Spouse/domestic partner and dependent accidental death and dismemberment insurance
- Short- and long-term disability insurance
- Long-term care insurance
- Business travel accident insurance
- Legal insurance
- Immediate participation and vesting in a 401(k) plan with company match
- Eligibility for an additional FINRA-funded retirement contribution
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance
- Wellness programs
- 15 days of paid time off initially, increasing up to 25 days with years of service
- 5 personal days
- 9 sick days
- Two volunteer service days based on full-time schedule
- Military leave
- Jury duty leave
- Bereavement leave
- Voting and election official leave
- Care of a family member leave after 90 days of employment
- Childbirth and parental leave after 90 days of employment
- Nine paid holidays for full-time employees