Vice President & Associate General Counsel, Regulatory

Responsibilities:

• Advisory Role: Advise the Board of Governors and FINRA advisory committees on high-impact regulatory initiatives and rule changes.
• Communication: Brief and communicate regulatory initiatives to senior executives.
• Legal Expertise: Serve as the primary legal expert in identified subject areas.
• Board Support: Prepare sophisticated analyses for the Board’s informed judgment.
• Rulemaking: Lead the drafting of new rule proposals and prepare filings to the SEC.
• Economic Assessment: Conduct economic impact assessments of rulemakings.
• Regulatory Notices: Lead the preparation of Regulatory Notices and rule guidance.
• Legal Research: Conduct legal research into regulatory policy matters.
• Innovation: Identify and present creative solutions for changes to existing rules.
• Collaboration: Provide legal counsel and assistance to other departments.
• Committee Liaison: Serve as a liaison to FINRA committees.
• Leadership: Lead and coordinate OGC legal staff efforts.

Qualifications:

• Education/Experience: Law degree with ten years of relevant legal experience.
• Expertise: Highly developed expertise in a specialized area.
• Communication Skills: Excellent oral and written communication skills.
• Interpersonal Skills: Excellent interpersonal skills.

Work Conditions:

• Office Environment: Normal office conditions.
• Travel: Occasional travel required.
• Public Speaking: Required at regulatory conferences.

Salary Information:

• Location-based Salary Ranges: See chart for proposed salary ranges by location.
• Application Process: Submit an application for consideration.

Additional Information:

• Disclaimer: The provided information indicates the general nature of the position.
• Accessibility: FINRA strives to make its career site accessible to all users.
• Accommodations: Contact FINRA’s Employee Relations team for application accommodations.
• Benefits: Comprehensive health, dental, and vision insurance, along with other benefits.
• Time Off: Generous time-off program including paid time off, personal days, sick days, and volunteer service days.
• Investment Restrictions: Employees are subject to FINRA’s Code of Conduct regarding investments.
• Search Firms: FINRA is not seeking assistance from search firms for this opportunity.
• Equal Opportunity: FINRA is an Equal Opportunity and Affirmative Action Employer.

Learn more here