Principal Counsel, Regulatory
Core
Provides legal advice and support for the complete life cycle of new regulatory initiatives, serving as a subject matter expert for the Board of Governors and senior executives.
Role type
Principal Counsel (Regulatory Policy)
Builds
Rule proposals, regulatory filings to the SEC, Board materials, and regulatory guidance for member firms.
Domain
Securities regulation and financial services law
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Securities law expertise, rule drafting, economic impact analysis, stakeholder management, public speaking, legal research, policy analysis
Preferred skills
Experience with SEC initiatives, self-regulatory organization (SRO) operations, innovative regulatory solutions
Technologies
None stated
Responsibilities
Assists in briefing regulatory initiatives to senior executives; reviews and drafts new rule proposals; prepares Board materials with sophisticated policy analyses; conducts economic impact assessments; presents at public conferences and advisory committee meetings; responds to interpretive and exemptive requests; collaborates on rule changes to reduce unnecessary regulation.
Seniority
Principal, experienced individual contributor
