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Assistant General Counsel, Regulatory
Jericho, NY ORGANIZATION is seeking a highly motivated and experienced Assistant General Counsel, Regulatory to join our team. This senior-level position will provide legal advice and support in the adoption of new regulatory initiatives and serve as a subject matter expert in various areas of legal expertise. The ideal candidate will have a law degree, admission to a bar, and a minimum of 6-8 years of directly related legal experience. This is a full-time position with a hybrid work environment and occasional travel may be required. Key Responsibilities: - Advise the Board of Governors and FINRA advisory committees on complex and sensitive regulatory initiatives, including registration and qualification, continuing education, statutory disqualifications, fingerprinting, and disclosures. - Brief and communicate regulatory initiatives to senior executives and provide analysis under urgent deadlines. - Serve as a source of legal expertise within FINRA in various subject areas and provide expert advice. - Prepare materials and analyses for the Board of Governors. - Review and draft new rule proposals, gather and incorporate views of industry participants and other regulators, and prepare rule filings to the SEC. - Work closely with the Office of the Chief Economist in conducting economic impact assessments of rulemakings. - Meet with senior staff of the 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 and other interested parties. - Conduct legal research and develop original solutions and proposals for changes to existing rules. - Act as liaison to FINRA advisory committees. - Keep up-to-date with SEC, industry, and other self-regulatory organization initiatives. - Attend and speak at conferences and meetings on areas of subject matter expertise. Qualifications: - Law degree from an accredited law school and admission to a bar. - 6-8 years of directly related legal experience. - Advanced knowledge of laws, rules, and regulations governing the securities industry. - Strong organizational, oral, and written communication skills. - Excellent judgment, analytical, and interpersonal skills. Compensation: The proposed salary ranges for this position, based on location, are as follows: - CA: Minimum Salary $146,200, Maximum Salary $296,100 - CO/HI/MN/VT*: Minimum Salary $127,300, Maximum Salary $246,600 - IL*: Minimum Salary $139,800, Maximum Salary $271,400 - Jersey City, NJ/NY, NY: Minimum Salary $152,700, Maximum Salary $296,100 - MD/Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800 - WA: Minimum Salary $127,300, Maximum Salary $283,800 *Including positions performed outside the state but reporting to an office or manager in that state. Benefits: - Hybrid work environment (remote/office). - Comprehensive health, dental, and vision insurance. - Additional insurance options, including life, accidental death and dismemberment, disability, and legal. - Immediate participation and vesting in a 401(k) plan with company match. - Eligibility for participation in an additional FINRA-funded retirement contribution. - Tuition reimbursement and other benefits. - 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in the first year). - 2 volunteer service days (based on full-time schedule). - Military, jury duty, bereavement, voting, and election leave. - Care of family member leave (after 90 days of employment). - Childbirth and parental leave (after 90 days of employment). - 9 paid holidays (based on full-time schedule). Important Information: - FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures related to their role as a securities regulator. - FINRA employees must disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements to **MEMBERS ONLY**SIGN UP NOW*** - New employees must comply with investment restrictions, including disposing of any securities on FINRA’s Prohibited Company List, by the date they begin employment. - Employees may only maintain securities accounts at firms that provide an e-feed of data to **MEMBERS ONLY**SIGN UP NOW*** - FINRA requires employees to execute a confidentiality and invention assignment agreement and comply with the company’s nepotism policy. To apply for this position, please submit an application on our website. Applications are accepted on an ongoing basis. FINRA is an Equal Opportunity and Affirmative Action Employer. We welcome all qualified applicants and do not discriminate on the basis of 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. We abide by the requirements of 41 CFR 60-741.5(a) and 41 CFR 60-300.5(a) and provide affirmative action for qualified individuals with disabilities and protected veterans. FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. A written agreement and task order must be in place before any resumes are submitted to **MEMBERS ONLY**SIGN UP NOW*** Resumes submitted without a valid written agreement and task order will be deemed the sole property of **MEMBERS ONLY**SIGN UP NOW*** |
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