What are the responsibilities and job description for the Assistant General Counsel, Regulatory position at Financial Industry Regulatory Authority (FINRA)?
Render senior-level 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, including with respect to crypto assets. This is senior-level professional work in which incumbents are developing their roles, increasing their skills, assuming increased responsibility, and working under general guidance.
Essential Job Functions :
- With limited oversight, advise the Board of Governors and FINRA advisory committees with respect to complex and sensitive regulatory initiatives and rule changes under consideration by the Board, including with respect to crypto assets.
- Assist in briefing and communicating complex and sensitive regulatory initiatives to senior executives of FINRA. Must be able to provide such analysis under urgent deadlines.
- Serve as a source of legal expertise within FINRA in many subject areas, including with respect to crypto assets, and provide 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 with greater independence; gather and incorporate views of industry participants, other regulators, senior staff and other interested parties; and prepare rule filings to the SEC.
- Work closely with the Office of the Chief Economist in conducting economic impact assessments of rulemakings.
- Together with senior-level OGC attorneys, meet with senior staff of SEC, industry groups and other interested parties concerning regulatory initiatives.
- Represent FINRA before industry groups.
- Prepare Regulatory Notices, rule guidance and other correspondence with member firms, their outside counsel and other interested parties.
- Conduct and oversee legal and other research into matters of regulatory policy as necessary to (1) develop rule proposals and to respond to internal and external comments, and (2) respond to interpretive and exemptive requests.
- Identify and present 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 liaison to FINRA advisory committees as assigned.
- 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.
- Attend and speak at regulatory policy public conferences and meetings of FINRA advisory committees on areas of subject matter expertise.
Other Responsibilities :
Education / Experience :
Work Conditions :
Salary Information :
For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the 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.
CA : Minimum Salary $150,600, Maximum Salary $305,000
CO / HI / MN / VT
Jersey City, NJ / NYC, NY : Minimum Salary $157,300, Maximum Salary $305,000
MA / WA : Minimum Salary $131,100, Maximum Salary $292,300
MD / Washington, DC : Minimum Salary $150,600, Maximum Salary $292,300
NJ State : Minimum Salary $144,000, Maximum $305,000
NY State : Minimum Salary $131,100, Maximum Salary $305,000
Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.
Application Process : To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.
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.
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Salary : $131,100 - $305,000
