Finra Work Values

Daily Duties at Finra :

• Conduct major investigations and litigate disciplinary actions involving violations of Securities and Exchange Commission and FINRA rules and regulations, including those involving supervisory systems, written supervisory procedures and sales practice issues. • As an ex officio member of Enforcement’s Litigation Section, prosecute as first chair disciplinary actions nationwide, primarily actions involving complex charges such as fraud and selling unregistered securities. • Manage Department of Enforcement externship program by selecting and mentoring law students on procedural and substantive issues related to their assigned cases and FINRA policies, and by reviewing their memoranda submitted to the Office of Disciplinary Affairs and their pleadings filed with the Office of Hearing Officers. • Develop and lead deposition skills training provided to FINRA examiners and state securities regulators across the country. • Mentor new Enforcement attorneys, and supervise, develop, and assist other Enforcement attorneys in the development of, training programs for Member Regulation staff. • Lectured at FINRA Institute on FINRA's disciplinary process and on issues involving the supervision of registered representatives by broker-dealers, lectured on various securities law topics to brokers, attorneys and foreign and state regulators, and led discussions of various securities law topics during annual FINRA attorney meetings.

What they like about Finra :

A hiring company that offers alternative approaches to pay, performance bonuses, and/or equity in the firm is very attractive to you. You're generally less interested in working for an organization offering only traditional, salary-based compensation, one with limited opportunity to acquire equity in the firm, or one that does not actively promote skill development. In addition, you are more likely to choose a company that offers a variety of internal career options, with defined career paths. You view the learning of new skills and development of your expertise as key to your career advancement. These aspects of an organization may become even more important to you as you progress in your field, and are especially critical if you change career or occupation.

Tags

Banking Industry, General Practice, Fraud, Securities, Litigation, Insurance, Appraisals, Real Estate, Compliance, Estate planning

Skills

Experienced attorney and compliance professional with extensive regulatory, investigation and litigation experience. Accomplished trial attorney and skilled manager of complex investigations. Self-starter with excellent communication and teaching skills, Insurance, Appraisals, Real Estate, Litigation, Fraud, Securities, Banking Industry, General Practice, Compliance, Estate planning

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