Associate General Counsel, Capital Markets

Min 10 yrs required

Full-time

No

Organization: FINRA
Department: OGC
Job Type: Full-Time
Job Description: Associate General Counsel, Capital Markets
Job Title: Associate General Counsel, Capital Markets

Key Responsibilities:

Provide expert legal advice and guidance to the Board of Governors and senior management on high-impact regulatory initiatives and rule changes in the capital markets area.
Act as the primary coordinator for policy and rulemaking functions within the Capital Markets Group.
Conduct economic impact assessments of rulemakings and work closely with the Office of the Chief Economist.
Represent FINRA before industry and self-regulatory organization/inter-market groups.
Lead and coordinate the efforts of other legal staff in completing work projects.
Serve as the recognized expert and speaker at regulatory policy conferences and meetings.
Manage public communication of FINRA proposals and legal interpretations to member firms and other interested parties.

Minimum Qualifications:

Law degree from an accredited law school and admission to a bar.
10+ years of relevant legal experience.
Highly developed expertise in a specialized area of knowledge related to trading practices, market integrity, and market structure in equities, options, and fixed income.
Excellent oral and written communication skills.
Excellent interpersonal skills.

Preferred Qualifications:

Familiarity with SEC mandates and FINRA trading-related fees.
Experience representing organizations before industry and self-regulatory organization/inter-market groups.
Previous experience in conducting economic impact assessments of rulemakings.
Strong leadership and project management skills.

Salary Information:

Based on location and other factors, the salary range for this position is $144,500 to $339,300.

Benefits:

Comprehensive health, dental, and vision insurance.
Basic life, accidental death and dismemberment, and supplemental life insurance.
Short- and long-term disability and long-term care insurance.
Business travel accident insurance.
Legal insurance.
Immediate participation and vesting in a 401(k) plan with company match.
Eligibility for participation in an additional FINRA-funded retirement contribution.
Tuition reimbursement.
15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in the first year).
Two volunteer service days.
Military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave.
Nine paid holidays.

Application Process:

To be considered for this position, please submit an application.
FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures related to their role as a securities regulator.
Search firms must have a valid written agreement and task order in place before submitting resumes for this position.
FINRA is an equal opportunity and affirmative action employer.

Key Responsibilities (H2 heading):

Providing expert legal advice and guidance to FINRA's Board of Governors and senior management.
Acting as the primary coordinator for policy and rulemaking functions within the Capital Markets Group.
Conducting economic impact assessments of rulemakings and working closely with the Office of the Chief Economist.
Representing FINRA before industry and self-regulatory organization/inter-market groups.
Leading and coordinating the efforts of other legal staff in completing work projects.
Serving as a recognized expert and speaker at regulatory policy conferences and meetings.
Managing public communication of FINRA proposals and legal interpretations to member firms and other interested parties.

Minimum Qualifications (H2 heading):

Law degree from an accredited law school and admission to a bar.
10+ years of relevant legal experience.
Highly developed expertise in a specialized area of knowledge related to trading practices, market integrity, and market structure in equities, options, and fixed income.
Excellent oral and written communication skills.
Excellent interpersonal skills.

Preferred Qualifications (H2 heading):

Familiarity with SEC mandates and FINRA trading-related fees.
Experience representing organizations before industry and self-regulatory organization/inter-market groups.
Previous experience in conducting economic impact assessments of rulemakings.
Strong leadership and project management skills.

Salary Information (H2 heading):

Based on location and other factors, the salary range for this position is $144,500 to $339,300.

Benefits (H2 heading):

Comprehensive health, dental, and vision insurance.
Basic life, accidental death and dismemberment, and supplemental life insurance.
Short- and long-term disability and long-term care insurance.
Business travel accident insurance.
Legal insurance.
Immediate participation and vesting in a 401(k) plan with company match.
Eligibility for participation in an additional FINRA-funded retirement contribution.
Tuition reimbursement.
15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in the first year).
Two volunteer service days.
Military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave.
Nine paid holidays.

Application Process (H2 heading):

To be considered for this position, please submit an application.
FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures related to their role as a securities regulator.
Search firms must have a valid written agreement and task order in place before submitting resumes for this position.
FINRA is an equal opportunity and affirmative action employer.

Important Information (H2 heading):

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator.
Employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism.
Please note that the “Apply Now” button on a job board posting may not take you directly to the FINRA Careers site.
If you need a disability-related accommodation for

Not specified

Comprehensive health, dental and vision insurance, life and disability insurance, retirement plan, paid time off, volunteer service days, and other benefits.

Not specified

Legal expertise, regulatory policy, rulemaking, analysis, communication, leadership, project management, research

Law degree from an accredited law school, admission to a bar.

Submit an application through the FINRA Careers website.

Qualification and Experience Law degree from an accredited law school, admission to a bar, 10+ years of relevant legal experience

Legal