Associate Director, Regulatory Policy Legal Support

The Office of General Counsel (“OGC”) Associate Director, Regulatory Policy Legal Support, oversees a team of Regulatory Policy specialists and supports the achievement of high-quality legal support for OGC’s rulemaking and interpretive functions, as well as legal and advisory support to other FINRA departments and committees. The role requires substantial knowledge and analytical skills regarding rules, regulations, and procedures; expertise in project management, quality assurance, staff development and training; development and administration of internal policies and procedures, and ability to manage and strengthen legal support processes.

Essential Job Functions:

• Perform and oversee services to assist in preparing and filing rule proposals with the SEC, developing Board Action Items and other materials, and preparing Regulatory Notices and similar communications.
• Ensure the quality of legal support services and assist with complex and novel scenarios.  Perform and supervise the performance of thorough legal analysis and necessary research in support of OGC’s Regulatory Policy and Capital Markets Policy attorneys.
• Provide effective team leadership to foster a productive, collaborative and engaged work environment.  Develop and implement targeted training and cross-training programs to ensure consistent coverage of critical programs and functions.
• Conduct and supervise the development of reports and exhibits for FINRA departments, senior management, and FINRA Board and committees.  Conduct proactive data analysis and reporting of program performance to facilitate information sharing and inform decision making.
• Oversee information and document management processes to ensure accurate, timely and comprehensive maintenance of systems of record.  Oversee ongoing enhancements to OGC systems and processes to increase effectiveness and efficiency of business operations.
• Lead the development and maintenance of OGC regulatory policies and procedures.  Serve as department Records Manager in accordance with the Enterprise Records Program.  Develop effective training and communication to ensure staff compliance with department and enterprise policies and procedures.
• Participate in strategic planning and annual budgeting activities for OGC.  Track operational measurements and achievement of objectives and key results.  Assess staffing needs based on future priorities and projections.
• Represent OGC in cross-departmental initiatives, committees, and working groups.  Act as liaison with other departments and external organizations as needed.

Education/Experience Requirements:

• Bachelors Degree and a minimum of eight years of directly relevant experience; or an equivalent combination of education and experience.
• Law degree, advanced business degree, or other graduate degree preferred.
• Knowledge of, and experience with, the functions of the U.S. markets, the broker-dealer industry, FINRA and SEC rulemaking processes, as well as familiarity with the broader landscape of financial regulation.  Advanced knowledge of FINRA procedures preferred.
• Excellent verbal and written skills required.
• Excellent interpersonal skills.
• Proven record of project management, team leadership, and goal attainment skills.
• Proficiency in Microsoft Office suite of applications, Lexis and Westlaw; experience with document management software and tracking and reporting systems preferred. 

Working Conditions:

• Hybrid work environment (remote/in office).
• Occasional travel and extended hours may be required.

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 $128,000, Maximum Salary $242,600

CO/HI/MN/VT*: Minimum Salary $111,400, Maximum Salary $202,100

IL*: Minimum Salary $122,800, Maximum Salary $222,400
Jersey City, NJ/NYC, NY: Minimum Salary $133,700, Maximum Salary $242,600

MA/WA: Minimum Salary $111,400, Maximum Salary $232,500

MD/Washington, DC: Minimum Salary $128,000, Maximum Salary $232,500

NJ State: Minimum Salary $122,800, Maximum $242,600

NY State: Minimum Salary $111,400, Maximum Salary $242,600

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides