Associate General Counsel, Capital Markets

# **Position Overview**

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 primary expert in complex and unique subject‑matter areas pertaining to regulatory policy, rendering independent expert advice. The incumbent also acts under the supervision of the Senior Vice President and Director of Capital Markets as the primary coordinator of policy and rulemaking functions within the Capital Markets Group of OGC, including overseeing preparation of board and committee materials, regulatory notices, rule filings, NMS Plan participation, SEC outreach, and economic impact assessments.

The incumbent must demonstrate the ability to perform these functions with minimal supervision and exercise high‑level independent judgment.

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# **Essential Job Functions**

– **Advise Board** — Advise the Board of Governors and FINRA advisory committees on high‑impact, legally and politically complex regulatory initiatives and rule changes.
– **Brief Executives** — Brief and communicate complex and sensitive regulatory initiatives to senior FINRA executives under urgent deadlines.
– **Provide Legal Expertise** — Serve as the key source of legal expertise in one or more subject areas, including trading practices, market integrity, market structure, order handling, trade reporting, transparency initiatives, and SEC mandates (CAT, Regulation SCI, Regulation NMS, Regulation SHO, SEC Rules 15c3‑5 and 15c2‑11).
– **Represent FINRA** — Represent FINRA before industry and inter‑market groups.
– **Prepare Board Materials** — Prepare and oversee sophisticated analyses and discussions for Board materials.
– **Draft Rule Proposals** — Draft and review rule proposals, gather industry and regulatory input, and prepare SEC rule filings.
– **Coordinate Economic Assessments** — Serve as primary coordinator for economic impact assessments with the Office of the Chief Economist.
– **Prepare Regulatory Notices** — Prepare Regulatory Notices, rule guidance, and correspondence with member firms and counsel.
– **Conduct Research** — Conduct legal and policy research to develop rule proposals and respond to comments and interpretive requests.
– **Develop Solutions** — Identify and present innovative solutions and proposals for changes to existing rules.
– **Provide Counsel** — Provide expert‑level legal counsel to other departments.
– **Serve as Liaison** — Serve as primary liaison to assigned FINRA committees.
– **Lead Legal Staff** — Lead and coordinate OGC legal staff in completing work projects.
– **Analyze Initiatives** — Analyze SEC, industry, and SRO initiatives and maintain cooperative relationships with regulators.
– **Speak Publicly** — Be a recognized expert and sought‑out speaker at regulatory conferences and FINRA committee meetings.
– **Manage Communications** — Manage public communication of FINRA proposals and legal interpretations.

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# **Other Responsibilities**

– **Lead Special Projects** — Lead or participate in ad hoc projects and initiatives.
– **Train Staff** — Train and mentor OGC attorneys and supervise analysts, paralegals, and assistants.
– **Support Procedures** — Support enforcement of office procedures and recommend improvements.

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# **Education & Experience Requirements**

– A law degree and appropriate licensing.
– 10+ years of relevant legal experience.
– Highly developed expertise in technically complex areas central to FINRA’s mission.
– Expert knowledge of securities industry rules and regulations.
– Excellent oral, written, and interpersonal communication skills.

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# **Work Conditions**

– Normal office environment.
– Occasional travel and extended hours.
– Required public speaking at regulatory conferences.

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# **Salary Ranges (Based on Location)**

**CO/FL/TX:** $154,100 – $301,400
**IL/PA:** $169,400 – $331,900
**MA/MD/VA/Washington, DC:** $177,100 – $346,700
**NY/NJ:** $177,100 – $361,700

#LI‑Hybrid

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# **Benefits Overview**

FINRA offers comprehensive health, dental, and vision insurance; life and disability coverage; long‑term care; business travel accident insurance; legal benefits; 401(k) with company match; retirement contributions; tuition reimbursement; commuter benefits; adoption and surrogacy assistance; backup family care; employee assistance programs; and wellness programs.

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# **Time Off & Paid Leave**

Full‑time employees receive:

– 15 days PTO
– 5 personal days
– 9 sick days
– 2 volunteer days
– 9 paid holidays

Additional leave includes military, jury duty, bereavement, voting, election official leave, family care leave, and parental leave.

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# **Important Information**

FINRA’s Code of Conduct requires disclosure of all brokerage accounts, compliance with investment restrictions, and movement of accounts to firms providing electronic feeds. New employees must comply with restrictions by their start date.

Employees must sign the Employee Confidentiality and Invention Assignment Agreement and comply with the nepotism policy.

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# **Equal Opportunity Statement**

FINRA provides equal employment opportunities regardless of protected categories and complies with disability and veteran affirmative action requirements.

For disability‑related accommodations during the application process, contact Employee Relations at [240‑386‑4865] or [email protected].

Apply here