Senior Reg Policy Specialist, Regulatory

Senior Regulatory Policy Specialist
The Senior Regulatory Policy Specialist provides high‑quality advice and support to OGC’s Regulatory Policy and Capital Markets Group attorneys with respect to rulemaking and interpretive functions for the organization, and assists in providing legal and advisory support to other FINRA departments and committees, and interpretive guidance to FINRA members and others. This entails applying substantial knowledge and analytical skills regarding various rules, regulations and procedures to ensure that regulatory filings and projects are properly managed and administered. The Senior Regulatory Policy Specialist also represents OGC both within and outside of FINRA. Additionally, the Senior Regulatory Policy Specialist assists with the training of the department’s analyst staff. The Senior Regulatory Policy Specialist must have demonstrated strong project management skills enabling the individual to work independently on complex and sensitive projects on a regular basis.

Essential Job Functions
Support to OGC Attorneys — Provides high‑quality support to OGC’s Regulatory Policy and Capital Markets attorneys, including reviewing or assisting in drafting rule filings and related documents for submission to the SEC, ensuring that all documents are prepared in accordance with required format and include appropriate citations.

Regulatory Research — Performs sophisticated research of regulatory issues raised under federal securities laws and regulations, FINRA rules, and other relevant market rules, and provides thorough analyses of issues, rules, and policies.

Drafting Memoranda — Drafts well‑written memoranda and comment summaries and assists with responses to comments, displaying advanced understanding of FINRA rules and procedures.

Board Materials — Assists in drafting Board Action Items and other materials for submission to the FINRA Board, as well as Regulatory Notices and similar communications.

Coordination with REMA — Coordinates with the Office of Regulatory Economics and Market Analysis regarding inclusion of economic impact assessments in rulemakings and related documents.

Monitoring Industry Initiatives — Keeps abreast of and analyzes SEC, industry, and other self‑regulatory organization initiatives.

Project Management — Monitors timeframes for completion of projects, publication of Regulatory Notices, and resolution of issues.

High‑Profile Filings — Plays a substantial role in supporting complex and high‑profile rule filings and other sensitive projects within FINRA. Proofreads rule‑filing‑related documents before posting on the FINRA website and distribution to the public.

Template Updates — Updates OGC’s rule filing templates in response to changes in SEC rules and procedures.

Issue Tracking — Tracks and monitors securities regulation issues before the FINRA Board and SEC.

Status Reports — Creates, updates, and distributes various departmental status reports used to inform recipients of the status of rule filings and regulatory matters.

Procedure Improvements — Takes initiative in identifying the need to amend or adopt department procedures or reports.

Representation and Coordination — Represents the department in company‑wide task forces and projects, coordinating with management and staff to prepare for regulatory reviews or oversight.

Special Projects — Undertakes special projects requested by Executive and Senior Management, such as supporting FINRA’s role in international initiatives.

FINRA Values and Collaboration — Demonstrates FINRA’s values and collaborates, both in‑person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Other Responsibilities
Responding to Inquiries — Responds to general inquiries regarding FINRA rules and procedures from other departments and the public.

Analyst Staff Support — Assists the Legal Support Manager with interviewing, training, and supervision of regulatory analyst staff.

Meeting Notes — Takes minutes or notes for various committee and other meetings.

Additional Research — May assist the Fixed Income Regulation Group or Appellate Group with research or other projects.

Education and Experience Requirements
Bachelor’s Degree and a minimum of seven years of directly relevant experience; or an equivalent combination of education and experience.

Postgraduate courses or degree desirable.

Experience providing legal support in administrative law, financial regulation, or similar environment required.

Excellent interpersonal and written communication skills.

Knowledge of federal securities laws and advanced knowledge of FINRA rules, regulations, and procedures strongly preferred.

Working knowledge of tracking and reporting systems.

Proficiency with Microsoft Word, Excel, Access, Lexis, and Westlaw.

Work Conditions
Hybrid work environment with defined in‑person presence requirements.

Salary Range by Location
CO/FL/TX: $97,700 – $176,100
IL/PA: $107,500 – $194,100
MA/MD/VA/Washington, DC: $112,300 – $202,500
NY/NJ: $112,300 – $211,400

#LI‑Hybrid

Additional Information
Applications are accepted on an ongoing basis.
If the “Apply Now” button on a job board does not redirect to FINRA Careers, visit: www.finra.org/careers.

Employees may be eligible for discretionary bonuses and overtime (if non‑exempt). FINRA provides comprehensive health, dental, and vision insurance, life and disability coverage, long‑term care, business travel accident insurance, legal insurance, 401(k) with company match, additional retirement contributions, tuition reimbursement, commuter benefits, adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave
FINRA offers 15 days of paid time off, 5 personal days, 9 sick days (pro‑rated first year), 2 volunteer service days, military leave, jury duty leave, bereavement leave, voting leave, care of family member leave (after 90 days), and childbirth/parental leave (after 90 days).
Full‑time employees receive nine paid holidays.

Important Information
FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures. Employees must disclose all brokerage accounts they maintain or control, authorize broker‑dealers to provide duplicate statements, and comply with investment restrictions before beginning employment. Accounts must be moved to firms providing electronic feeds within three months.

Employees must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s nepotism policy.

Equal Opportunity Statement
FINRA is an Equal Opportunity Employer. All qualified applicants receive consideration without regard to legally protected categories.

FINRA provides accommodations for applicants with disabilities. Contact Employee Relations at 240‑386‑4865 or [email protected].

FINRA complies with 41 CFR 60‑741.5(a) and 41 CFR 60‑300.5(a).

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