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Date Last Verified
Years of Experience
Additional Locations: New York, NY & Rockville, MD
The Ethics / Code of Conduct Office (the Ethics Office) is responsible for ensuring that FINRA executes its regulatory responsibilities in an ethical manner promoting confidence in FINRA’s independence. This attorney position is responsible for creating, interpreting, advising on, monitoring and maintaining various conflicts-of-interest programs at FINRA, at all times acting in an independent and confidential manner.
This is senior-level professional work in which the incumbent is developing their assigned roles, increasing their skills, assuming increased responsibility, and working under general guidance of the Ethics Director and VP.
Essential Job Functions:
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.