Assistant General Counsel Compliance

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Assistant General Counsel, Compliance
Duties: Provide crucial thought-leadership and action in the creation and implementation of FINRA’s Compliance Program, to include development of various aspects of the program over time as the program evolves, which may including enterprise compliance, risk assessment and testing program, a policies, procedures and training program, an ad-hoc legal and compliance issues program, and a regulatory change management program, among others. Independently plan, prioritize, and implement strategies for building out the overall program, as well as its various sub-components; show a demonstrated facility for championing approaches, as well as resilience in the face of potential road-blocks. Invoke proven leadership skills to achieve consensus among disparate business lines and senior managers, working seamlessly across departmental divides to influence outcomes. Design, promote and implement appropriate consistency of approach to policies and procedures across the operating departments, as well as quality assurance testing of these policies and procedures. Working closely with senior management of all departments, design and implement both enterprise-wide and targeted training regarding legal and compliance topics based on trends across the company and SROs generally. Actively guide FINRA’s operational departments in responding to legal and compliance issues that are escalated to ECO. Initiate and maintain close contact with the other offices within ECO, with other second-line offices, such as Enterprise Risk Management, and with FINRA’s third-line Internal Audit Office. Develop strong and productive relationships with SEC staff, acting as a trusted point of contact for compliance-related questions; lead and facilitate compliance-related meetings with SEC staff. Produce reports to the CCO, the Office of the Chief Legal Officer, the Office of the CEO, FINRA’s senior management committees and the Audit Committee of the Board of Governors on FINRA’s annual compliance priorities and the effectiveness of FINRA’s compliance program. Serve as a source of legal and compliance expertise within FINRA in subject areas and provide advice on questions in these subject areas. Manage and conduct legal and compliance research into matters of regulatory policy and compliance as necessary to, among other things (1) develop compliance plans, and (2) respond to compliance issues and concerns. Manage a team of professionals who identify and analyze compliance issues and support the development of mitigation strategies. Directs teams and individuals focused on delivering high quality results within one or more major compliance functions. Coordinates assignment of staff; mentors and develops staff; responsible for staff performance management and training. Develop communications for ECO. Oversee, lead or participate in ad hoc special projects and initiatives, as requested. Directly supervise compliance officers and other compliance staff, as directed by the CCO or DCCO.

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