Assistant General Counsel, Regulatory
2 weeks ago
Are you looking for purpose and meaning in your work? Does the idea of working for a regulator speak to your moral compass?
As a not-for-profit entity, FINRA (Financial Industry Regulatory Authority) operates under the oversight of the SEC and sits at the nexus of broker-dealers, policymakers and investors. Our mission is investor protection and market integrity.
We're hiring an Assistant General Counsel in our Regulatory group.
This is senior-level professional work in which incumbents are developing their roles, increasing their skills, assuming increased responsibility, and working under general guidance.
Essential Job Functions:
- With limited oversight, advise the Board of Governors and FINRA advisory committees with respect to complex and sensitive regulatory initiatives and rule changes under consideration by the Board.
- Assist in briefing and communicating complex and sensitive regulatory initiatives to senior executives of FINRA. Must be able to provide such analysis under urgent deadlines.
- Prepare Board materials that contain sophisticated analyses and discussions of competing policy or political considerations necessary for the informed judgment of the issues by the Board.
- Review and draft new rule proposals with greater independence; gather and incorporate views of industry participants, other regulators, and senior staff; and prepare rule filings to the SEC.
- Work closely with the Office of the Chief Economist in conducting economic impact assessments of rulemakings.
- Together with senior-level OGC attorneys, meet with senior staff of SEC, industry groups and other interested parties concerning regulatory initiatives.
- Represent FINRA before industry groups.
- Prepare Regulatory Notices, rule guidance and other correspondence with member firms and their outside counsel.
- Conduct and oversee legal and other research into matters of regulatory policy as necessary to (1) develop rule proposals and to respond to internal and external comments, and (2) respond to interpretive and exemptive requests.
- Identify and present original, creative, innovative and sophisticated solutions and proposals for changes to existing rules, including the elimination or reduction of unnecessary regulation and the adoption of new rules.
- Serve as liaison to FINRA advisory committees as assigned.
- Keep abreast of and analyze SEC, industry and other self-regulatory organization initiatives, and develop and maintain strong working relationships with SEC staff and other regulators.
Other Responsibilities
- Lead or participate in ad hoc special projects and initiatives as requested.
- Provide status reports of assigned matters or projects.
- Develop communications as needed for Chief Legal Officer and other senior management.
- Provide and implement suggestions to increase efficiency and effectiveness of office procedures.
- Train and mentor other attorneys, regulatory analysts, legal assistants, and administrative assistants in OGC.
Education/Experience Requirements:
- Law degree from an accredited law school, admission to a bar, and a minimum of 6 - 8 years of directly related legal experience.
- Advanced knowledge of laws, rules, and regulations governing the securities industry.
- Strong organizational skills. Excellent oral and written communication skills.
- Excellent judgment, analytical, and interpersonal skills.
Work Conditions:
- Normal office conditions.
- Occasional travel and extended hours may be required.
California: Minimum Salary $146,200, Maximum Salary $296,100
Washington, DC/Maryland: Minimum Salary $146,200, Maximum Salary $283,800
Colorado/Hawaii: Minimum Salary $127,300, Maximum Salary $246,600
New York, NY: Minimum Salary $152,700, Maximum Salary $296,100
Washington: Minimum Salary $127,300, Maximum Salary $283,800
LI-Hybrid
- The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required._
Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short
- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits.
Time Off and Paid Leave*
FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year). Additionally, we are
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