Job Title: FINRA Legal Extern, Enforcement (UNPAID) - FALL 2025 SEMESTER
Salary: UNPAID
Experience: Graduate student pursuing JD or LLM
Organization: FINRA
Department: Enforcement
Term: Fall: August- December
Time Type: Part time
Hiring Criteria:
- Graduate student pursuing JD or LLM
- Securities law related course work and/or knowledge of securities law or brokerage regulations are not required, but preferred
- 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
- Fall and Spring externs must work a minimum of 12 hours weekly.
- Externs must earn current course credits (determined by school) and cannot work purely as a volunteer. FINRA requires at least one credit.
Responsibilities:
- Work closely with Enforcement’s attorneys, investigators and management to assist in investigating and determining violations of federal securities laws or FINRA, or MSRB rules
- Perform legal research and writing
- Conduct document review
- Assist staff in preparing for on-the-record testimony
- Observe on-the-record interviews and settlement negotiations
- Attend departmental meetings and participate in trainings
Application Process:
Applicants must submit a:
- Current resume
- Current transcript
- Legal writing sample
- Cover letter explaining interest in the externship, preferred posting location, and qualifications
- All required documents must be uploaded prior to submitting application. Incomplete applications will not be considered.
Benefits:
- Comprehensive health, dental and vision insurance
- Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment insurance
- Short- and long-term disability, long-term care, business travel accident, disability and legal insurance
- Immediate participation and vesting in a 401(k) plan with company match
- Eligibility for participation in an additional FINRA-funded retirement contribution
- Tuition reimbursement
- Commuter benefits
- 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:
- 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law
- 2 volunteer service days
- Military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave
- 9 paid holidays
Important Information:
- FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures
- Employees must disclose all brokerage accounts and authorize their broker-dealers to provide FINRA with duplicate statements
- Employees must comply with the Code’s investment restrictions by the date they begin employment with FINRA
- Employees may only maintain securities accounts at firms that provide an electronic feed (e-feed) of data to FINRA
- Employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism
Search Firm Representatives:
- FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity
- A valid written agreement and task order must be in place before any resumes are submitted to FINRA
- Resumes submitted without a valid written agreement and task order will be deemed the sole property of FINRA and no fee will be paid if that person is hired by FINRA
Disability Accommodation:
- FINRA strives to make our career site accessible to all users
- If a disability-related accommodation is needed for completing the application process, please contact FINRA's Employee Relations team
- This process is exclusively for inquiries regarding application accommodations
Equal Opportunity Employer:
- All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws
Protected Veterans and Individuals with Disabilities:
- FINRA abides by the requirements of 41 CFR ), prohibiting discrimination against qualified individuals on the basis of disability and requiring affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities
- FINRA abides by the requirements of 41 CFR ), prohibiting discrimination against qualified protected veterans and requiring affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans
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