FINRA
Principal Counsel
FINRA, Washington, District of Columbia, us, 20022
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, primarily in equity and fixed income securities, trading practices and market structure, with an emphasis on OGC support to FINRA as a participant in the Consolidated Audit Trail (CAT) NMS Plan. This is professional work in which incumbents are defining their assigned roles, increasing their skills, and working under the general guidance of senior attorneys.Essential Job Functions:
Advise the Board of Governors and FINRA advisory committees with respect to regulatory initiatives and rule changes under consideration by the Board.Assist in briefing and providing communication on complex and sensitive regulatory initiatives to senior executives of FINRA. Must be able to provide such analysis under urgent deadlines.Serve as legal resource within FINRA in one or more subject areas and provide advice on questions in these subject areas.Prepare Board materials that contain analyses and discussions of competing policy or political considerations necessary for the informed judgment of the issues by the Board.Together with senior-level attorneys, draft new rule proposals; gather and incorporate views of industry participants, other regulators, and senior staff; and prepare rule filings to the SEC.Prepare Regulatory Notices, rule guidance and other correspondence with member firms and their outside counsel.Conduct legal and other research into matters of regulatory policy as necessary to, among other things (1) develop rule proposals and respond to internal and external comments, and (2) respond to interpretive and exemptive requests.Together with senior-level attorneys, identify and present solutions and proposals for changes to existing rules, including the elimination or reduction of unnecessary regulation and the adoption of new rules.Work closely with the Office of the Chief Economist in conducting economic impact assessments of rulemakings.Keep abreast of and analyze SEC, industry and other self-regulatory organization initiatives, and develop and maintain strong working relationships with SEC staff and other regulators.Represent FINRA before industry groups.Attend and speak at, or assist in the preparation of materials for, regulatory policy public conferences and meetings of FINRA advisory committees on areas of subject matter expertise.Other Responsibilities:
Participate in ad hoc special projects and initiatives as requested.Provide status reports of assigned matters or projects.Develop communications as needed for Chief Legal Officer and other senior management.Other level-appropriate duties, as assigned.Education/Experience Requirements:
Law degree from an accredited law school, admission to a bar.Minimum of 6 years of directly related legal experience.Advanced working knowledge of laws, rules, and regulations governing the securities industry.Strong working knowledge of trading and market practices and rules, regulations and guidelines governing the securities industry.Excellent oral and written communication and organizational skills.Excellent judgment and interpersonal skills.Working Conditions:
Normal office conditions.Occasional travel and extended hours may be required.For work that is performed in CA, CO, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education and internal peer compensation comparisons:California: Minimum of $111,800, Maximum of $220,900Colorado: Minimum of $101,500, Maximum of $184,100New York, NY: Minimum of $121,700, Maximum of $220,900Washington St: Minimum of $101,500, Maximum of $211,700To be considered for this position, please submit an application.
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.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.
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Advise the Board of Governors and FINRA advisory committees with respect to regulatory initiatives and rule changes under consideration by the Board.Assist in briefing and providing communication on complex and sensitive regulatory initiatives to senior executives of FINRA. Must be able to provide such analysis under urgent deadlines.Serve as legal resource within FINRA in one or more subject areas and provide advice on questions in these subject areas.Prepare Board materials that contain analyses and discussions of competing policy or political considerations necessary for the informed judgment of the issues by the Board.Together with senior-level attorneys, draft new rule proposals; gather and incorporate views of industry participants, other regulators, and senior staff; and prepare rule filings to the SEC.Prepare Regulatory Notices, rule guidance and other correspondence with member firms and their outside counsel.Conduct legal and other research into matters of regulatory policy as necessary to, among other things (1) develop rule proposals and respond to internal and external comments, and (2) respond to interpretive and exemptive requests.Together with senior-level attorneys, identify and present solutions and proposals for changes to existing rules, including the elimination or reduction of unnecessary regulation and the adoption of new rules.Work closely with the Office of the Chief Economist in conducting economic impact assessments of rulemakings.Keep abreast of and analyze SEC, industry and other self-regulatory organization initiatives, and develop and maintain strong working relationships with SEC staff and other regulators.Represent FINRA before industry groups.Attend and speak at, or assist in the preparation of materials for, regulatory policy public conferences and meetings of FINRA advisory committees on areas of subject matter expertise.Other Responsibilities:
Participate in ad hoc special projects and initiatives as requested.Provide status reports of assigned matters or projects.Develop communications as needed for Chief Legal Officer and other senior management.Other level-appropriate duties, as assigned.Education/Experience Requirements:
Law degree from an accredited law school, admission to a bar.Minimum of 6 years of directly related legal experience.Advanced working knowledge of laws, rules, and regulations governing the securities industry.Strong working knowledge of trading and market practices and rules, regulations and guidelines governing the securities industry.Excellent oral and written communication and organizational skills.Excellent judgment and interpersonal skills.Working Conditions:
Normal office conditions.Occasional travel and extended hours may be required.For work that is performed in CA, CO, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education and internal peer compensation comparisons:California: Minimum of $111,800, Maximum of $220,900Colorado: Minimum of $101,500, Maximum of $184,100New York, NY: Minimum of $121,700, Maximum of $220,900Washington St: Minimum of $101,500, Maximum of $211,700To be considered for this position, please submit an application.
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.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.
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