Principal Counsel, Regulatory

Principal Counsel in Office of General Counsel (OGC), Regulatory Policy renders legal advice and support in connection with the complete life cycle of new regulatory initiatives and serves as subject matter resource in one or more areas of legal expertise. This position is an experienced individual contributor who demonstrates increasing subject matter expertise and independence. Essential Job Functions Assist in providing advice to 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 communicating 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 subject areas and provide 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 increased independence; gather and incorporate views of industry participants, other regulators, senior staff and other interested parties; and prepare rule filings to the SEC. Work with Regulatory Economics and Market Analysis (REMA) in conducting economic impact assessments of rulemakings. Participate in meetings with senior staff of SEC, industry groups and other interested parties concerning regulatory initiatives. Present at regulatory policy public conferences and meetings of FINRA advisory committees on areas of subject matter expertise, as required. Prepare Regulatory Notices, rule guidance and other correspondence with member firms, their outside counsel and other interested parties. Conduct 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. Collaborate across OGC to 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. 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. Demonstrate FINRA’s values. Collaborate, both in‑person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity. Education/Experience Requirements A law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements. A minimum of six (6) years of directly related legal experience. Advanced working knowledge of laws, rules, and regulations governing the securities industry. Strong organizational skills. Excellent oral and written communication skills. Excellent judgment, analytical, and interpersonal skills. Work Conditions Hybrid work environment, with defined in‑person presence requirements. Occasional travel and extended hours may be required. Salary For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, reference the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations. CO/FL/TX: Minimum Salary $114,200, Maximum Salary $207,200 IL/PA: Minimum Salary $125,900, Maximum Salary $228,000 MA/MD/VA/Washington, DC: Minimum Salary $131,200, Maximum Salary $238,300 NY/NJ: Minimum Salary $131,200, Maximum Salary $248,700 Benefits Employees may be eligible for a discretionary bonus in addition to base pay. Non‑exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, accidental death and dismemberment, short‑ and long‑term disability, long‑term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA‑funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs. Time off and paid leave includes a generous program of paid time off, personal days, sick days, volunteer service days, military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, birth and parental leave, and paid holidays. (The exact amounts and limits may vary.) Important Information 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. Employees must disclose to FINRA all brokerage accounts that they maintain, those in which they control trading or have a financial interest, and to authorize their broker‑dealers to provide FINRA with duplicate statements for all of those accounts. All accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e‑feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e‑feed within three months of beginning employment. Equal Opportunity Employer FINRA is an Equal Opportunity Employer. All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law. FINRA strives to make our career site accessible to all users. Application To be considered for this position, please submit an application. Applications are accepted on an ongoing basis. #J-18808-Ljbffr FINRA