Associate General Counsel, Capital Markets

Associate General Counsel, Capital Markets

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This position is responsible for directing and managing the complete life cycle of the adoption of new regulatory requirements. The incumbent provides expert knowledge to the Board of Governors and senior management, advising them on high‑impact, legally and politically complex and sensitive regulatory initiatives and rule changes.

This role is recognized by FINRA and the industry as the top primary expert in a sophisticated subject matter area. The incumbent will act under the supervision of the Senior Vice President and Director of Capital Markets as the primary coordinator of policy and rulemaking functions within the Capital Markets Group of OGC.

Essential Job Functions

• Advise the Board of Governors and FINRA advisory committees on complex regulatory initiatives and rule changes.
• Brief and communicate complex regulatory initiatives to senior executives of FINRA under urgent deadlines.
• Serve as the key source of legal expertise in subject areas such as trading practices, market integrity, market structure in equities, options and fixed income, SEC mandates including Consolidated Audit Trail, Regulation SCI, Regulation NMS, Regulation SHO, SEC Rule 15c3‑5 and SEC Rule 15c2‑11, FINRA quoting and trade reporting mechanisms, FINRA trading‑related fees.
• Represent FINRA before industry and self‑regulatory organization / inter‑market groups.
• Prepare and oversee Board materials that contain sophisticated analyses and discussions of competing policy or political considerations.
• Draft and review new rule proposals, gather and incorporate views of industry participants, other regulators, and senior staff, and prepare rule filings to the SEC.
• Conduct economic impact assessments of rulemakings in the capital markets area of OGC in collaboration with the Office of the Chief Economist.
• 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 develop rule proposals and respond to internal and external comments and interpretive and exemptive requests.
• Lead the identification and presentation of original, creative, innovative, and sophisticated solutions and proposals for changes to existing rules.
• Provide expert‑level legal counsel and assistance to projects and initiatives of other departments.
• Serve as primary liaison to FINRA committees as assigned.
• Lead and coordinate the efforts of other OGC legal staff in the completion of work projects.
• Analyze SEC, industry and other self‑regulatory organization initiatives and develop and maintain cooperative working relationships with other regulators.
• Be the recognized expert and attend and be a sought‑out speaker at regulatory policy public conferences and meetings of FINRA committees on areas of subject matter expertise.
• Manage public communication of FINRA proposals and legal interpretations to member firms, members of the bar, the media, and other interested parties.

Other Responsibilities

Education and Experience Requirements

Work Conditions

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws.

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