Vice President & Associate General Counsel, Regulatory

Min 10 yrs required

Full-time

No

About FINRA

FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR ). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR ). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

©2019 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.


The Vice President & Associate General Counsel, Regulatory will be responsible for managing and directing the adoption of new regulatory requirements in various areas, including registration and qualification, continuing education, statutory disqualifications, fingerprinting, and disclosures. This position requires expertise in these areas and the ability to manage operational, legal, and reputational risks to the organization. The incumbent will also provide expert advice to the Board of Governors and senior management on complex and sensitive regulatory initiatives and rule changes. A law degree and a minimum of ten years of relevant legal experience are required for this position. The salary range for this position varies based on location, but is between $175,600 and $345,700.

Responsibilities:

- Advise the Board of Governors and FINRA advisory committees on complex and sensitive regulatory initiatives and rule changes
- Brief and communicate these initiatives to senior executives
- Serve as the key source of legal expertise in identified subject areas and provide independent expert advice
- Prepare and oversee the preparation of Board materials containing sophisticated analyses and discussions of policy considerations
- Lead the drafting of new rule proposals and gather feedback from industry participants and other regulators
- Conduct and review economic impact assessments of rulemaking and retrospective reviews of rules
- Prepare Regulatory Notices, rule guidance, and other correspondence with member firms
- Conduct legal and other research as necessary to develop rule proposals and respond to comments
- Identify and present solutions for changes to existing rules and unnecessary regulations
- Provide expert-level legal counsel and assistance to projects and initiatives of other departments
- Serve as primary liaison to FINRA committees as assigned
- Lead and coordinate the efforts of other OGC legal staff
- Analyze initiatives from the SEC, industry, and other self-regulatory organizations
- Attend and speak at regulatory policy conferences and FINRA committee meetings
- Manage public communication of FINRA proposals and legal interpretations

Other Responsibilities:

- Train and mentor other OGC attorneys and assist in supervising and directing regulatory analysts, paralegals, and administrative assistants
- Support enforcement of office procedures and provide suggestions for increasing efficiency

Education/Experience Requirements:

- Law degree and admission to a bar
- Minimum of ten years of relevant legal experience
- Highly developed expertise in a specialized area of knowledge related to the securities industry
- Excellent oral and written communication skills
- Excellent interpersonal skills

Work Conditions:

- Normal office conditions
- Occasional travel and extended hours may be required
- Public speaking and appearing at regulatory conferences are required

Salary Information:

- California: Minimum Salary $175,600, Maximum Salary $345,700
- Washington, DC: Minimum Salary $175,600, Maximum Salary $345,700
- Colorado/Hawaii: Minimum Salary $175,600, Maximum Salary $345,700
- New York, NY: Minimum Salary $175,600, Maximum Salary $345,700
- Washington: Minimum Salary $175,600, Maximum Salary $345,700

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

FINRA is committed to providing equal employment opportunities to all individuals regardless of race, color, religion, gender, sexual orientation, gender identity, national origin, age, disability, marital status, veteran status, or any other legally protected status.

FINRA is an Equal Opportunity and Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status, or any other classification protected by federal, state, or local laws. FINRA abides by the requirements of 41 CFR ) and 41 CFR ), which prohibit discrimination against qualified individuals with disabilities and protected veterans, respectively.

©2019 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Not specified

Comprehensive health, dental, and vision insurance; life, disability, and legal insurance; 401(k) plan with company match; retirement contribution; tuition reimbursement; generous time-off program; volunteer service days; paid leave for various reasons; paid holidays

Not specified

Legal expertise, regulatory policy, rulemaking, risk management, communication, leadership, research, public speaking, project management, mentoring, teamwork, strategic thinking

Law degree, admission to a bar

Submit application through FINRA's careers website

Qualification and Experience Law degree, admission to a bar

Legal