Assistant General Counsel, Regulatory

Financial Industry Regulatory Authority • Tysons Corner, VA

72d • $150,600 - $305,000 • Hybrid

About The Position

This is senior-level professional work in which incumbents are developing their roles, increasing their skills, assuming increased responsibility, and working under general guidance. The position involves rendering senior-level legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serving as a subject matter resource in one or more areas of legal expertise.

Requirements

• A law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements.
• A minimum of eight 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.

Responsibilities

• 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 under urgent deadlines.
• Serve as a source of legal expertise within FINRA in many subject areas and provide expert advice on questions in these subject areas.
• 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, senior staff and other interested parties; and prepare rule filings to the SEC.
• Work closely with Regulatory Economics and Market Analysis (REMA) in conducting economic impact assessments of rulemakings.
• 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, their outside counsel and other interested parties.
• Conduct and oversee legal and other research into matters of regulatory policy to develop rule proposals and respond to internal and external comments.
• Identify and present original, creative, innovative and sophisticated solutions and proposals for changes to existing rules.
• Serve as liaison to FINRA advisory committees as assigned.
• Keep abreast of and analyze SEC, industry and other self-regulatory organization initiatives.
• Attend and speak at regulatory policy public conferences and meetings of FINRA advisory committees.
• Demonstrate FINRA's values.
• Collaborate, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.
• 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.

Benefits

• Comprehensive health, dental and vision insurance.
• Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life insurance.
• Short- and long-term disability insurance.
• 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution.
• Tuition reimbursement.
• Commuter benefits.
• Adoption assistance.
• Backup family care.
• Surrogacy benefits.
• Employee assistance programs.
• Wellness programs.
• 15 days of paid time off, 5 personal days, and 9 sick days.
• Two volunteer service days.
• Paid holidays.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Industry: Religious, Grantmaking, Civic, Professional, and Similar Organizations
• Education Level: Bachelor's degree
• Number of Employees: 1,001-5,000 employees