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 securities market rule changes.
Role type
Senior in-house general counsel (capital markets regulation)
Builds
Regulatory policy, rule filings, and economic impact assessments for the Capital Markets Group
Domain
Financial services / Securities regulation / Capital markets
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Securities law expertise, regulatory policy analysis, rulemaking coordination, economic impact assessment, public speaking, legal research, stakeholder management
Preferred skills
Experience with SEC mandates (Regulation NMS, TRACE, etc.), industry liaison experience, mentoring legal staff
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; Mentor other attorneys and regulatory analysts
Seniority
Senior, hands-on IC with leadership responsibilities
