Counsel – Regulatory Practice & Policy
FINRA is seeking a well-qualified individual for our Counsel opening in Washington, DC. To be considered for this position, please submit your resume through our career site at www.finra.org/careers – no phone calls, please.
Job Summary:
Render 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.
This is senior-level professional work in which incumbents are defining their assigned roles, increasing their skills, and working under general guidance.
Essential Job Functions:
- Advise the Board of Directors and advisory committees with respect to high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes under consideration by the Board.
- Brief and communicate complex and sensitive regulatory initiatives to senior executives of FINRA. Must be able to provide such analysis under urgent deadlines.
- Serve as the key source of legal expertise within FINRA in many subject areas and provide independent 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; gather and incorporate views of industry participants, other regulators, and senior staff; and prepare rule filings to the SEC.
- Meet with senior staff of SEC, industry groups and other interested parties concerning regulatory initiatives.
- Represent FINRA before industry groups.
- Prepare Regulatory Notices and other correspondence with member firms and their outside counsel.
- Conduct and oversee legal and other research into matters of regulatory policy as necessary to (a) develop rule proposals and to respond to internal and external comments, and (b) to respond to interpretive and exemptive requests.
- Take a leadership role in identifying and presenting 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 counsel to one or more operating departments of FINRA, providing expert-level legal advice and taking an active role in ensuring the success of departmental initiatives.
- Serve as primary liaison to FINRA advisory committees as assigned.
- Keep abreast of 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.
Education/Experience Requirements:
- Law degree from an accredited law school, admission to a bar, and a minimum of 4—8 years of relevant legal experience.
- Advanced working knowledge of rules, regulations and guidelines governing the securities industry.
- Excellent oral and written communication skills.
- Excellent judgment and interpersonal skills.
Working Conditions:
Normal office conditions. Occasional travel and extended hours may be required.
To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.
The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.
FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at (240) 386-4865. Please note that this number is exclusively for inquiries regarding application accommodations.
In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.
Please note: 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. As standard practice, employees must also complete FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism.
About FINRA
The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s mission is to protect America’s investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.
FINRA’s independent regulation plays a critical role in America’s financial system and touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.
FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.
In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.
Find out more about us and how we work—and view our current openings—atwww.finra.org/careers.
Search Firm Representatives
Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.
FINRA is an Equal Opportunity and Affirmative Action Employer
©2013 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
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