Senior Regulatory Policy Counsel for Rulemaking

FINRA; Washington; Hybrid; USD 125,000 - 230,000; Full time

Benefits offered by this job

Health, dental and vision insurance

401(k) with company match

Tuition reimbursement

Commuter benefits

Wellness programs

Adoption assistance

Job summary

FINRA is seeking a Principal Counsel in the Office of General Counsel, Regulatory Policy, to provide legal advice and support across the lifecycle of new regulatory initiatives. This experienced contributor works with senior leaders, prepares Board materials, drafts rule proposals, and collaborates with SEC and REMA to assess economic impacts.

Ideal candidates have a law degree and at least six years of related securities law experience, with strong judgment, communication, and interpersonal

Qualifications

• A law degree and appropriately licensed to practice law in all applicable jurisdictions based on licensing requirements.
• A minimum of six (6) years of directly related legal experience.
• Advanced working 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.

Responsibilities

• Assists in providing advice to the Board of Governors and FINRA advisory committees with respect to regulatory initiatives and rule changes under consideration by the Board.
• Assists in briefing and communicating regulatory initiatives to senior executives of FINRA under urgent deadlines.
• Serves as a source of legal expertise within FINRA in subject areas and provides advice on questions.
• Prepares Board materials with sophisticated analyses for informed judgment.
• Reviews and drafts new rule proposals and prepares rule filings to the SEC.
• Works with REMA in conducting economic impact assessments of rulemakings.
• Participates in meetings with SEC, industry groups and other interested parties.
• Presents at regulatory policy conferences and FINRA advisory committee meetings.
• Prepares Regulatory Notices, rule guidance and other correspondence.
• Conducts legal research to develop rule proposals and respond to comments and requests.
• Collaborates across OGC to present innovative solutions for rule changes.
• Keeps abreast of SEC and regulator initiatives and builds relationships with staff.
• Demonstrates FINRA’s values and collaborates to advance investor protection and market integrity.

Skills

Regulatory policy

Legal advice

Oral communication

Written communication

Analytical skills

Interpersonal skills

Judgment

Independent

Education

Law degree

Licensed to practice law

Job description

FINRA is seeking a Principal Counsel in the Office of General Counsel, Regulatory Policy, to provide legal advice and support across the lifecycle of new regulatory initiatives. This experienced contributor works with senior leaders, prepares Board materials, drafts rule proposals, and collaborates with SEC and REMA to assess economic impacts.

Ideal candidates have a law degree and at least six years of related securities law experience, with strong judgment, communication, and interpersonal