Job Details

Paralegal - Legal Editor (R-001878)

Company name


Organization Type

Law Firm

Job Type

Legal Staff

Date Last Verified

Oct 06, 2020

Posted on

Sep 18, 2020

Years of Experience

Min 3 yrs required


Washington, DC, United States


Practice Area
Corporate >> Corporate - Securities and Capital Markets
Finance >> Finance
Litigation >> Litigation
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Job Summary:

This position performs a variety of specific duties in support of the Office of Hearing Officers’ operations and functions, including applying analytical skills to assist the Hearing Officers and the parties and their counsel in adjudicatory proceedings.

Essential Job Functions:

  • Manages docket of assigned cases, including maintenance of the official records of those proceedings and the Office of Hearing Officer’s electronic docket.
  • Receives, compiles, and organizes information for the preparation of various documents, including orders and decisions.
  • Monitors case deadlines and assists the Hearing Officers with effectively managing their case dockets, including monitoring their cases when they are away at hearings and consulting with the Chief Hearing Officer and Deputy Chief Hearing Officer as necessary to determine if action must be taken.
  • Acts as liaison between parties and Hearing Officers to facilitate resolution of pre-hearing motions and requests, serving as a knowledgeable resource for information regarding the Office of Hearing Officers’ policies, procedures, programs, objectives, and operational functions.
  • Anticipates and resolves issues that may arise during the course of the case.
  • Prepares a variety of documents for the Hearing Officers, including notices, orders, and correspondence.
  • Proofreads and cite checks draft decisions, orders, and other documents prepared by Hearing Officers; ensures efficient completion of the proofreading process, verifies facts from case records; ensures that final decisions and orders are in proper form and are properly served on the parties; circulates final decisions to appropriate FINRA departments.
  • Examines pleadings to ensure their accuracy and completeness; identifies if any filings have restricted or personal confidential information that needs to be redacted; contacts attorneys or parties if submitted pleadings and other documents do not comply with FINRA’s Code of Procedure or the Office of Hearing Officers’ procedures..
  • Attends pre-hearing conferences and hearings at the discretion of the Hearing Officers to assist with the conduct of the hearing and the management of evidence.
  • Compiles statistical information and reports as required.
  • Participates in special projects at the request of the manager, the Chief Hearing Officer, or the Deputy Chief Hearing Officer.

Education/Experience Requirements:

  • Bachelor’s degree and either a paralegal certificate or three years’ experience as a Legal Assistant with FINRA or equivalent paralegal experience.
  • Litigation or securities-related experience preferred.
  • Strong planning and organization skills, as well as excellent interpersonal and written communication skills required.

Work Conditions:

  • Work is normally performed in an office environment. 
  • Occasional travel may be required.

Company info


Company Profile

FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage.

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