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FINRA · 2 months ago

Assistant General Counsel, Regulatory

Tysons, VA (Job Posting)

Full-time

Hybrid

Senior Level, Lead/Staff

$151K/yr - $292K/yr

8+ years exp

FINRA is the Financial Industry Regulatory Authority, and they are seeking an Assistant General Counsel to provide senior-level legal advice and support on regulatory initiatives. The role involves advising the Board of Governors, preparing legal documents, and collaborating with various stakeholders on complex regulatory matters.

FinanceFinancial ServicesNon Profit

Culture & Values

Responsibilities

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, senior staff and other interested parties; and prepare rule filings to the SEC

Work closely with Regulatory Economics and Market Analysis (REMA) 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, their outside counsel and other interested parties

Conduct and oversee legal and other research into matters of regulatory policy as necessary to (1) develop rule proposals and to 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

Demonstration of FINRA’s values

Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity

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 efficiency and effectiveness of office procedures

Train and mentor other attorneys, regulatory analysts, legal assistants, and administrative assistants in OGC

Qualification

Law degreeSecurities industry knowledgeLegal experienceRegulatory initiatives expertiseJudgment skillsAnalytical skillsOrganizational skillsCommunication skillsInterpersonal skills

Required

A law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements

A minimum of eight 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

Benefits

Comprehensive health, dental and vision insurance

Basic life

Accidental death and dismemberment

Supplemental life

Spouse/domestic partner and dependent life

Spouse/domestic partner and dependent accidental death and dismemberment

Short- and long-term disability

Long-term care

Business travel accident

Disability and legal

401(k) plan with company match

FINRA-funded retirement contribution

Tuition reimbursement

Commuter benefits

Adoption assistance

Backup family care

Surrogacy benefits

Employee assistance

Wellness programs

15 days of paid time off

5 personal days

9 sick days

Two volunteer service days

Military leave

Jury duty leave

Bereavement leave

Voting and election official leave

Care of a family member leave

Childbirth and parental leave

Nine paid holidays

Company

FINRA

Glassdoor4.0

The Financial Industry Regulatory Authority (FINRA) is an independent regulator for securities firms doing business in the U.S. It is a sub-organization of Thrivent.

Founded in 2007

Washington, District of Columbia, USA

1001-5000 employees