Hybrid Assistant General Counsel, Regulatory

Posted 2 weeks ago

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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

Job title

Assistant General Counsel, Regulatory

Job type

Experience level

SeniorLead

Salary

$150,600 - $305,000 per year

Degree requirement

Professional Certificate

Location requirements

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