FINRA

Assistant General Counsel, Regulatory

FINRA

full-time

Posted on:

Location Type: Hybrid

Location: Washington, D.C. • California, Colorado, Florida, Illinois, Maryland, Massachusetts, New Jersey, New York, Pennsylvania, Texas, Virginia, Washington • 🇺🇸 United States

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Salary

💰 $150,600 - $305,000 per year

Job Level

SeniorLead

About the role

  • Render senior-level legal advice and support on regulatory initiatives
  • Advise the Board of Governors and FINRA advisory committees
  • Assist in briefing complex regulatory initiatives to senior executives
  • Prepare(Board materials, rule proposals, and filings to the SEC
  • Conduct economic impact assessments of rulemakings
  • Meet with senior staff of SEC and industry groups
  • Prepare Regulatory Notices and correspondence with member firms
  • Conduct research into regulatory policy matters
  • Identify and present solutions for changes to existing rules
  • Collaborate with FINRA advisory committees and stakeholders

Requirements

  • A law degree and appropriately licensed to practice law in applicable jurisdictions
  • 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
  • FINRA provides full pay ranges to consider growth potential
  • Comprehensive health, dental and vision insurance
  • Additional insurance including life, disability, and legal
  • 401(k) plan with company match
  • Tuition reimbursement
  • Commuter benefits
  • Adoption assistance and backup family care
  • Employee assistance and wellness programs
  • Generous time-off program and paid leave including military, jury duty, and bereavement leave
  • Two volunteer service days

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
legal adviceregulatory initiativeseconomic impact assessmentsregulatory policy researchrule proposalsSEC filingsregulatory notices
Soft skills
organizational skillsoral communicationwritten communicationjudgmentanalytical skillsinterpersonal skills
Certifications
law degreelicensed to practice law
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