Senior Paralegal, Appellate

Are you looking for purpose and meaning in your work? Does the idea of working for a regulator speak to your moral compass?

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.

FINRA is hiring a Senior Paralegal in our appellate group.

The Senior Paralegal in Appellate provides paralegal and administrative support for the department’s legal and compliance function. Reviews and processes documentation regarding adjudications, legal filings and research. Updates internal case management systems and conducts research. Monitors and helps meet the organization's compliance requirements in areas of expertise. This position is a professional individual contributor who works under close supervision.

Essential Job Functions:

• Compiles research for assigned cases, reviews the accuracy of legal documents and filings, performs investigative tasks, and adheres to internal standards that ensure the proper documentation and maintenance of legal filings and other records.
• Drafts legal documentation, generates docket and activity reports, and maintains internal legal systems, under direct supervision, to ensure organizational compliance requirements are met.
• Analyzes relevant legal documents and organizational policies and procedures to improve individual knowledge of internal standards and applicable regulatory requirements.
• Conducts basic assessments and analyses of organizational procedures, requirements, and internal legal management systems, and provides recommendations to department leadership.
• Addresses general inquiries regarding FINRA rules and procedures from other departments and the general public.
• Plans committee meetings and oral arguments, including compiling meeting materials and coordinating with third-party vendors. 
• Follows area protocols, standards, and policies.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Proficiency in Bluebook legal citation format is required for this role. The position involves preparing litigation documents and supporting attorneys with case filings, all of which demand strong Bluebook citation skills.

***Please ensure that your resume properly reflects these skills.***

Education/Experience Requirements:

• Bachelor’s degree or equivalent and a minimum of four (4) years of relevant experience.

• Paralegal Certificate a plus. 

• Excellent planning and organization skills.

• Excellent written and oral communication skills.

• Knowledge and experience with legal research databases (Lexis and Westlaw).

• Knowledge of Microsoft 365, Adobe Acrobat Pro, docket management system preferred.

Working Conditions:

• Hybrid work environment, with defined in-person presence requirements.

• Overtime may be required.

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.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.

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.

Time Off and Paid Leave*

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.

*Based on full-time schedule

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-