Regulatory Policy Expert
1 month ago
Job Summary
This position is responsible for directing and managing the complete life cycle of the adoption of new regulatory requirements. The incumbent provides expert knowledge to the Board of Governors and senior management, advising them on high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes. This position is recognized by FINRA and the industry as the top/ primary expert in a particularly complex and unique subject matter area(s) pertaining to regulatory policy, rendering independent expert advice in these areas.
Key Responsibilities
- Advise the Board of Governors and FINRA advisory committees with respect to high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes under consideration by the Board.
- Brief and communicate complex and sensitive regulatory initiatives to senior executives of FINRA. Must be able to provide such analysis under urgent deadlines.
- Serve as the key source of legal expertise within FINRA in one or more subject areas and provide independent expert advice on questions and issues as they arise.
- Prepare and oversee the preparation of 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.
- Draft and review the drafting of new rule proposals; gather and incorporate views of industry participants, other regulators, and senior staff; and prepare rule filings to the SEC.
- Serve as the primary coordinator in conducting economic impact assessments of rulemakings in the capital markets area of OGC, working closely with the Office of the Chief Economist.
- Prepare Regulatory Notices, rule guidance, and other correspondence with member firms and their outside counsel.
- Conduct legal and other research into matters of regulatory policy as necessary to develop rule proposals and to respond to internal and external comments.
- Take a leadership role in identifying and presenting original, creative, innovative, and sophisticated solutions and proposals for changes to existing rules.
- Provide expert-level legal counsel and assistance to projects and initiatives of other departments.
- Serve as primary liaison to FINRA committees as assigned.
- Lead and coordinate the efforts of other OGC legal staff in the completion of work projects.
- Analyze SEC, industry and other self-regulatory organization initiatives, and develop and maintain cooperative working relationships with other regulators.
- Be the recognized expert and attend and be a sought-out speaker at regulatory policy public conferences and meetings of FINRA committees on areas of subject matter expertise.
- Manage public communication of FINRA proposals and legal interpretations to member firms, members of the bar, the media, and other interested parties.
Requirements
- Law degree from an accredited law school, admission to a bar, and 10+ years of relevant legal experience.
- Highly developed expertise in a specialized area of knowledge that is both technically complex and central to the overall mission of the organization; and expert knowledge of rules, regulations and guidelines governing the securities industry.
- Excellent oral and written communication skills. Excellent interpersonal skills.
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