Assistant General Counsel, Regulatory

Render senior-level legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject matter resource in one or more areas of legal expertise, including in the areas of registration and qualification, continuing education, statutory disqualifications, fingerprinting, and disclosures, among other areas.

This is senior-level professional work in which incumbents are developing their roles, increasing their skills, assuming increased responsibility, and working under general guidance.

Essential Job Functions:


* 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, including in the areas of registration and qualification, continuing education, statutory disqualifications, fingerprinting, and disclosures, among other areas.


* 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 the Office of the Chief Economist 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 ...