Teams at FINRA

Entry-level FINRA Enforcement Honors Associates support investigations and potential disciplinary actions involving financial-industry individuals and firms. Responsibilities include legal and sanctions research, evidence review and analysis, interviews, factual presentations, drafting legal documents, investigative strategy, and litigation preparation. The role requires a recent J.D. or L.L.M. graduate, strong research and communication skills, and eventual bar admission for continuation beyond the first year.

Leads and advises on complex, novel, and high-risk membership applications; identifies regulatory and industry risks; develops regulatory strategies; guides analysts; engages member firms; supports training and quality reviews; and mentors staff. The role requires strong securities-industry knowledge, risk analysis, communication, research, quantitative, presentation, and leadership skills, along with at least five years of securities, compliance, or financial regulatory experience.

Conducts risk monitoring and ongoing assessments of FINRA member firms, including complex and elevated-risk firms. Analyzes regulatory intelligence, financial and external data, business models, and industry risks; develops recommendations and regulatory responses; collaborates with internal and external stakeholders; leads special projects and technology initiatives; and mentors junior staff. Requires strong knowledge of securities regulations, FINRA risk fundamentals, financial analysis, U.S. GAAP, and relevant industry risks.