Finra Work Values

Daily Duties at Finra:

Senior Litigation Paralegal supporting attorneys in Investor Protection and Market Integrity Efforts • Provided paralegal support to team attorneys in their investigations to deter, detect and discipline those who break the rules. In these combined pursuits provided attorney support with Lexis and Pacer research tasks. Contacted various state government SEC’s and their respective Secretary of State offices to track corporate filings. • As a result of investigations would assist and facilitate the filing of complaints, and subsequent discovery and production tasks. Included in the discovery tasks was reviewing documents for Suspicious Activity Reports, Personal Confidential Information and Attorney Work Product. Upon the issue of scheduling order, completed filing of all the pre-hearing briefs. Associated with those tasks was the drafting of Table of Authorities and Table of Contents. • Other duties included assembling and QCing of exhibit kits, drafting of Notice of Filings and Notice of Issuance of FINRA’s version of subpoena, under FINRA Rule 8210. Hearing support tasks include arranging and supporting court room logistics, witness handling, exhibit tracking and attorney support. • These hearings involved extensive travel planning for attorney teams which I supervised. Attended Securities and Exchange Commission’s Anti Money Laundering training in relation to the Patriot Act. In addition attended Series 55 training, and various FINRA Capital Markets seminars. This training included sessions on Dark Pools, Hedge Funds and Market Manipulation. Have background in appellate activities in the securities industry include interfacing with the FINRA Appellate Chief Leo Orenstein, executing filings with the Office of General Counsel. Conducted research tasks and distribution and filing of correspondence to and from the OGC. Also responded to various Federal and State access requests to aid in investigation of possible criminal activities which would include Securities fraud, conversion of funds and manipulation of penny stocks. Utilized Summation, Adobe Pro, Recommind and Trial Director

What they like about Finra:

Organizations with strong, centralized leadership are particularly attractive to you. You require a work environment with leadership that aggressively seeks to expand and grow the business and does so in a visible and decisive manner. In general you prefer to work in an environment in which there is a strong link between leadership, its actions, and a strong set of company-wide values.

Tags

Senior Litgation Paralegal, Litigation Support Specialist, Experienced Trial Support Specialist

Skills

These are some of the questions we asked our climbers about their experiences with Finra: