RSA Expert Advisor
4 days ago
Key Responsibilities
- Monitor key aspects of Enforcement cases involving RSA Exchanges and provide periodic reporting to Enforcement's SVPs and the Head of Enforcement.
- Develop strong relationships and interfaces with RSA Exchanges on projects and other regulatory matters on behalf of Enforcement.
- Coordinate Enforcement's work with Market Regulation and Member Supervision in RSA-related program areas.
- Prepare senior-level RSA-related reports and periodic board reports on behalf of Enforcement.
- Represent Enforcement in external working groups with FINRA and RSA Exchanges on matters of common interest.
Requirements
- A law degree and admission to the bar of the highest court of the District of Columbia or state.
- A minimum of twelve years of securities-related regulatory and/or legal policy experience.
- A minimum of 5 years spent working for a regulatory entity, member firm or law firm, with direct involvement in securities enforcement matters.
Compensation and Benefits
For this role in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA, the estimated salary range is $171,900 - $351,200 per year. Additional benefits include comprehensive health insurance, retirement plan, paid time off, and more.
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