Legal externs work closely with Enforcement’s attorneys, investigators and management to assist Enforcement in investigating and determining whether FINRA regulated firms and / or associated individuals violated the federal securities laws or FINRA, or MSRB rules.
Externs perform a variety of tasks including legal research and writing, and document review, as well as assisting staff to prepare for on-the-record testimony.
Externs also have the opportunity to observe on-the-record interviews and settlement negotiations, and to attend departmental meetings and participate in trainings designed to build or enhance skills and knowledge.
Term of Position
Fall : August / September - December
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.
Application Process :
Applicants must submit :
- Current resume
- Current transcript
- Legal writing sample
- Cover letter explaining your interest in the externship, preferred posting location, and the qualifications making you an appropriate candidate
- Applicants must upload all of the required documents referenced above prior to submitting your application. Applications that do not include all of the required documents will not be considered.
All successful applicants will be required to pass a drug screening test and a minimal background check prior to starting the externship.
Legal externs will not be eligible for permanent attorney positions following graduation. The FINRA Enforcement Department generally only hires experienced attorneys into permanent positions.
LI-DNI
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Legal externs work closely with Enforcement’s attorneys, investigators and management to assist Enforcement in investigating and determining whether FINRA regulated firms and/or associated individuals violated the federal securities laws or FINRA, or MSRB rules. Externs perform a variety of tasks in...
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