Senior Reg Policy Specialist, Regulatory
Core
Provides high-quality legal and advisory support to FINRA's Regulatory Policy and Capital Markets Group attorneys on rulemaking, interpretive functions, and regulatory filings to the SEC.
Role type
Senior Regulatory Policy Specialist (Administrative Law/Financial Regulation)
Builds
Regulatory filings, rulemakings, and interpretive guidance for FINRA members and the SEC
Domain
Financial Services / Securities Regulation
Required skills
Administrative law expertise, FINRA rules knowledge, federal securities laws knowledge, legal research, document drafting, project management, regulatory analysis
Preferred skills
Postgraduate degree, advanced FINRA rules knowledge, tracking/reporting systems proficiency
Technologies
Microsoft Word, Excel, Access, Lexis, Westlaw
Responsibilities
Reviewing and drafting rule filings for SEC submission, performing sophisticated research on federal securities laws, drafting memoranda and comment summaries, coordinating economic impact assessments, monitoring securities regulation issues before FINRA Board and SEC, updating rule filing templates, representing the department in task forces, training analyst staff
Seniority
Senior, hands-on IC