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About the Role

The Principal Counsel in the Office of General Counsel (OGC), Regulatory Policy, provides legal advice and support throughout the lifecycle of new regulatory initiatives and acts as a subject matter expert. This experienced individual contributor demonstrates growing expertise and independence in their field.

Responsibilities

• Assists in advising the Board of Governors and FINRA advisory committees on proposed regulatory initiatives and rule changes.
• Assists in briefing and communicating regulatory initiatives to FINRA senior executives.
• Provides analysis under urgent deadlines.
• Serves as a legal subject matter expert within FINRA, offering advice on specific legal areas.
• Prepares sophisticated Board materials analyzing policy and political considerations for informed decision-making.
• Reviews and drafts new rule proposals with increasing independence, incorporating feedback from industry participants, regulators, and staff.
• Prepares rule filings for the SEC.
• Collaborates with Regulatory Economics and Market Analysis (REMA) on economic impact assessments of rulemakings.
• Participates in meetings with SEC senior staff, industry groups, and other stakeholders regarding regulatory initiatives.
• Presents at public conferences and advisory committee meetings on areas of expertise.
• Prepares Regulatory Notices, rule guidance, and correspondence for member firms and other parties.
• Conducts legal and policy research to develop rule proposals, respond to comments, and handle interpretive and exemptive requests.
• Collaborates across OGC to develop creative solutions for rule changes, including deregulation and new rule adoption.
• Stays informed about SEC, industry, and other SRO initiatives.
• Develops and maintains strong working relationships with SEC staff and other regulators.
• Demonstrates FINRA’s values.
• Collaborates virtually and in-person to advance FINRA’s mission of investor protection and market integrity.

Requirements

• A law degree and licensed to practice law in all applicable jurisdictions.
• A minimum of six 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.
• Must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification.
• Must comply with the company’s policy on nepotism.
• Must comply with FINRA’s Code of Conduct restrictions on employee investments and financial disclosures.
• Must disclose all brokerage accounts to FINRA and authorize duplicate statements.
• Must comply with investment restrictions and dispose of securities from the Prohibited Company List or obtain a waiver by the start date.
• Must maintain securities accounts only at firms providing an electronic feed (e-feed) to FINRA, moving accounts within three months of employment if necessary.

Skills

• Legal advice and support
• Regulatory initiatives
• Subject matter expertise
• Legal expertise
• Sophisticated analysis
• Rule proposal drafting
• Stakeholder engagement
• Economic impact assessment
• Public speaking
• Legal research
• Policy development
• Collaboration
• Communication
• Organizational skills
• Analytical skills
• Interpersonal skills
• Judgment

Location

• Washington, DC
• New York, NY

Work Type

• Hybrid work environment
• Occasional travel
• Extended hours

Experience Level

• Principal
• Experienced individual contributor
• Minimum of six (6) years of directly related legal experience

Education Level

• Law degree

Salary/Compensations

• 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

• Discretionary bonus
• Overtime pay
• Comprehensive health, dental and vision insurance
• Basic life insurance
• Accidental death and dismemberment insurance
• Supplemental life insurance
• Spouse/domestic partner and dependent life insurance
• Spouse/domestic partner and dependent accidental death and dismemberment insurance
• Short-term disability insurance
• Long-term disability insurance
• Long-term care insurance
• Business travel accident insurance
• Disability insurance
• Legal insurance
• Immediate participation and vesting in a 401(k) plan with company match
• FINRA-funded retirement contribution
• Tuition reimbursement
• Commuter benefits
• Adoption assistance
• Backup family care
• Surrogacy benefits
• Employee assistance program
• Wellness programs
• 15 days of paid time off
• 5 personal days
• 9 sick days
• Two volunteer service days
• Military leave
• Jury duty leave
• Bereavement leave
• Voting and election official leave
• Care of a family member leave (after 90 days)
• Childbirth and parental leave (after 90 days)
• Nine paid holidays

About the Company

• FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States.
• FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC).
• FINRA’s independent regulation plays a critical role in America’s financial system at no cost to taxpayers.
• FINRA registers and educates industry participants, examines securities firms, writes and enforces rules, informs the investing public, provides trade reporting and industry utilities, and administers the largest dispute resolution forum.
• FINRA uses powerful technology to detect potential market abuses like insider trading.
• FINRA is a trusted advocate for investors, dedicated to keeping markets fair and proactively addressing emerging regulatory issues.
• FINRA operates from Washington, DC, and New York, NY, with other offices around the country.
• Our Growth is Creating Great Opportunities!
• Our team is expanding, and we want to hire the most talented people we can.
• Continued success depends on it!

Equal Opportunity

• All qualified applicants receive consideration for employment without regard to 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 abides by the requirements of 41 CFR 60-741.5(a), prohibiting discrimination against qualified individuals with disabilities and requiring affirmative action.
• FINRA abides by the requirements of 41 CFR 60-300.5(a), prohibiting discrimination against qualified protected veterans and requiring affirmative action.