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.
Role type
Senior IC regulatory policy specialist (securities law)
Builds
Regulatory filings, rulemakings, and interpretive guidance for FINRA members and the SEC
Domain
Financial regulation / Securities law
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Administrative law expertise, FINRA rules knowledge, federal securities laws knowledge, project management, document drafting, regulatory research, public representation
Preferred skills
Postgraduate degree, advanced FINRA procedures knowledge, tracking/reporting systems proficiency
Technologies
Microsoft Word, Excel, Access, Lexis, Westlaw
Responsibilities
Reviewing or drafting rule filings for SEC submission, performing sophisticated research on federal securities laws and FINRA rules, drafting memoranda and comment summaries, coordinating economic impact assessments with REMA, monitoring securities regulation issues before FINRA Board and SEC, updating rule filing templates, representing the department in company-wide task forces, training analyst staff
Seniority
Senior, hands-on IC
