Assistant General Counsel, Regulatory

### Are you looking for purpose and meaning in your work?

Does the idea of working for a regulator speak to your moral compass?

As a not-for-profit entity, FINRA (Financial Industry Regulatory Authority) operates under the oversight of the SEC and sits at the nexus of broker-dealers, policymakers, and investors. Our mission is investor protection and market integrity.

We’re hiring an Assistant General Counsel in our Regulatory group.

In this role, you will render senior-level legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives and serve as a subject matter resource in one or more areas of legal expertise.

This is senior-level professional work in which incumbents are developing their roles, increasing their skills, assuming increased responsibility, and working under general guidance.

### Essential Job Functions

– With limited oversight, 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. Must be able to provide such analysis 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, and senior staff; and prepare rule filings to the SEC.
– Work closely with the Office of the Chief Economist in conducting economic impact assessments of rulemakings.
– Together with senior-level OGC attorneys, 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 and their outside counsel.
– Conduct and oversee legal and other research into matters of regulatory policy as necessary to (1) develop rule proposals and respond to internal and external comments, and (2) respond to interpretive and exemptive requests.
– Identify and present original, creative, innovative, and sophisticated solutions and proposals for changes to existing rules, including the elimination or reduction of unnecessary regulation and the adoption of new rules.
– Serve as liaison to FINRA advisory committees as assigned.
– Keep abreast of and analyze SEC, industry, and other self-regulatory organization initiatives, and develop and maintain strong working relationships with SEC staff and other regulators.
– Attend and speak at regulatory policy public conferences and meetings of FINRA advisory committees on areas of subject matter expertise.

### Other Responsibilities

– 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 the efficiency and effectiveness of office procedures.
– Train and mentor other attorneys, regulatory analysts, legal assistants, and administrative assistants in OGC.

### Education/Experience Requirements

– Law degree from an accredited law school, admission to a bar, and a minimum of 6–8 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.

### Work Conditions

– Normal office conditions.
– Occasional travel and extended hours may be required.

For work that is performed in CA, Washington, DC, CO, HI, New York, NY, WA, and MD the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

– California: Minimum Salary $146,200, Maximum Salary $296,100
– Washington, DC/Maryland: Minimum Salary $146,200, Maximum Salary $283,800
– Colorado/Hawaii: Minimum Salary $127,300, Maximum Salary $246,600
– New York, NY: Minimum Salary $152,700, Maximum Salary $296,100
– Washington: Minimum Salary $127,300, Maximum Salary $283,800

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities, and qualifications required.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s Employee Relations team at 240.386.4865 or by email at [email protected]. Please note that this process is exclusively for inquiries regarding application accommodations.

Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental, and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability, and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, and many other benefits.

### Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state, or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

### Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner, or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer.

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status, or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends, or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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