Associate General Counsel, Capital Markets
Core
Directs the complete life cycle of adopting new regulatory requirements and provides expert legal advice to the Board of Governors and senior management on complex regulatory initiatives.
Role type
Senior in-house general counsel (regulatory policy)
Builds
Regulatory rule proposals, filings, and guidance for the securities industry
Domain
Financial services / Securities regulation
Required skills
Securities law expertise, regulatory policy analysis, rule drafting, economic impact assessment, public speaking, legal research, stakeholder management
Preferred skills
Experience with FINRA committees, knowledge of trading practices and market structure
Technologies
None stated
Responsibilities
Advise the Board of Governors on high-impact regulatory initiatives; Draft and review new rule proposals for SEC filing; Conduct economic impact assessments of rulemakings; Represent FINRA before industry and self-regulatory groups; Train and mentor other attorneys and regulatory analysts.
Seniority
Senior, hands-on IC with leadership responsibilities