Associate General Counsel, Regulatory

05 Sep, 2023


Associate General Counsel, Regulatory

Washington, DC/Kansas City, MO/Jericho, NY/Denver, CO/Dallas, TX/Chicago, IL/Boston, MA/Boca Raton, FL/Atlanta, GA/Jersey City, NJ/Woodbridge, NJ/San Francisco, CA/Rockville, MD/Philadelphia, PA/New York, NY/Los Angeles, CA

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 top/primary expert in a particularly complex and unique subject matter area(s) pertaining to regulatory policy, rendering independent expert advice in these areas.

The incumbent must have demonstrated ability to perform these functions with minimal or no supervision, as well as consistent demonstration of high level independent judgment with the ability to take responsibility for the exercise of that judgment.



Essential Job Functions:

  • Advise the Board of Governors and FINRA advisory committees with respect to high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes under consideration by the Board.
  • Brief and communicate complex and sensitive regulatory initiatives to senior executives of FINRA. Must be able to provide such analysis under urgent deadlines. Serve as the key source of legal expertise within FINRA in one or more subject areas and provide independent expert advice on questions and issues in these subject areas.
  • Represent FINRA before industry and regulatory groups and organizations.
  • Prepare and oversee the preparation of 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.
  • Draft and review the drafting of new rule proposals; gather and incorporate views of industry participants, other regulators, and senior staff; prepare rule filings to the SEC; and liaise with SEC staff to obtain approvals.
  • Conduct economic impact assessments of rulemakings and the retrospective review of rules on behalf of OGC, as assigned, working closely with the Office of the Chief Economist.
  • Prepare Regulatory Notices, rule guidance, and other correspondence with member firms and their outside counsel.
  • Take a leadership role in identifying and presenting 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.
  • Lead and coordinate the efforts of other OGC legal staff in the completion of work projects.
  • Conduct legal analysis and necessary research to (1) develop rule proposals and to respond to internal and external comments, and (2) respond to interpretive and exemptive requests.
  • Provide expert-level legal counsel and assistance to projects and initiatives of other departments, supporting them in achieving their goals.
  • Serve as primary liaison to FINRA committees as assigned.
  • Analyze SEC, industry and other self-regulatory organization initiatives, and develop and maintain strong and cooperative working relationships with other regulators.
  • Be the recognized expert and attend and be a sought-out speaker at regulatory policy public conferences and meetings of FINRA committees on areas of subject matter expertise.
  • Manage public communication of FINRA proposals and legal interpretations to member firms, members of the bar, the media, and other interested parties.



Other Responsibilities

  • Lead or participate in ad hoc special projects and initiatives as requested.
  • Train and mentor other OGC attorneys and assist in supervising and directing regulatory analysts, paralegals and administrative assistants in OGC.
  • Support enforcement of office procedures concerning regulatory proposals and legal interpretive positions; provide and implement suggestions to increase efficiency and effectiveness of procedures.


Education/Experience Requirements:

  • Law degree from an accredited law school, admission to a bar, and 10+ years of relevant legal experience.
  • Highly developed expertise in a specialized area of knowledge that is both technically complex and central to the overall mission of the organization; and expert knowledge of rules, regulations and guidelines governing the securities industry.
  • Excellent oral and written communication skills. Excellent interpersonal skills.


Work Conditions:

  • Normal office conditions.
  • Occasional travel and extended hours may be required.
  • Public speaking and appearing at regulatory conferences are required.


For work that is performed in CA, CO, New York, NY and WA, 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 $158,900, Maximum Salary $339,300

Colorado: Minimum Salary $144,500, Maximum Salary $282,700

New York, NY: Minimum Salary $173,500, Maximum Salary $339,300

Washington: Minimum Salary $144,500, Maximum Salary $325,200






To be considered for this position, please submit an application.


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.


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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.


You can read more about these restrictions here.


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.


Search Firm Representatives


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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Job posted: 2023-09-05