FINRA · 3 months ago
Associate General Counsel, Capital Markets
Washington, DC (Job Posting)
Full-time
Hybrid
Senior Level, Lead/Staff
$177K/yr - $347K/yr
10+ years expFINRA is the Financial Industry Regulatory Authority, and they are seeking an Associate General Counsel for Capital Markets. This role involves directing and managing the adoption of new regulatory requirements, providing expert legal advice, and coordinating policy and rulemaking functions within the Capital Markets Group.
FinanceFinancial ServicesNon Profit
Responsibilities
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 as they arise. Subject area expertise relate to trading practices, market integrity and market structure in equities, options and fixed income including order handling requirements, trade reporting and other transparency initiatives; SEC mandates including Consolidated Audit Trail, Regulation SCI, Regulation NMS, Regulation SHO, SEC Rule 15c3- 5 and SEC Rule 15c2-11; FINRA’s quoting and trade reporting mechanisms, including TRACE, the Alternative Display Facility (ADF) and Trade Reporting Facilities (TRFs); and FINRA trading-related fees, including TAF and Section 31/Section 3
Represent FINRA before industry and self-regulatory organization/inter-market groups
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; and prepare rule filings to the SEC
Serve as the primary coordinator in conducting economic impact assessments of rulemakings in the capital markets area of OGC, working closely with the Office of the Chief Economist
Prepare Regulatory Notices, rule guidance, and other correspondence with member firms and their outside counsel
Conduct 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
Take a leadership role in identifying and presenting original, creative, innovative, and sophisticated solutions and proposals for changes to existing rules, including rules and guidance needed to address the constantly evolving nature of trading within the securities markets
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
Lead and coordinate the efforts of other OGC legal staff in the completion of work projects
Analyze SEC, industry and other self-regulatory organization initiatives, and develop and maintain 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
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
Qualification
Required
A law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements
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
Benefits
Comprehensive health, dental and vision insurance
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
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
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 for federal, state or local primary and general elections
Care of a family member leave (available after 90 days of employment)
Childbirth and parental leave (available after 90 days of employment)
Nine paid holidays
Company
FINRA
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.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Tina Salehi Gubb
Senior Vice President
Michael Solomon
Executive Vice President of Examinations and Membership Application Program
Recent News
Investment News
2026-01-13
2026-01-06
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