Assistant General Counsel Regulatory

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Assistant General Counsel, Regulatory
Duties: With limited oversight, advise the Board of Governors and FINRA advisory committees with respect to complex and sensitive regulatory initiatives and rule changes under consideration by the Board. Assist in briefing and communicating complex and sensitive regulatory initiatives to senior executives. Must be able to provide such analysis under urgent deadlines. Serve as a source of legal expertise within in many subject areas and provide expert advice on questions in these subject areas. Prepare Board materials that contain sophisticated analyses and discussions of competing policy or political considerations necessary for the informed judgment of the issues by the Board. Review and draft new rule proposals with greater independence; gather and incorporate views of industry participants, other regulators, and senior staff; and prepare rule filings to the SEC. Work closely with the Office of the Chief Economist in conducting economic impact assessments of rulemakings. Together with senior-level OGC attorneys, meet with senior staff of SEC, industry groups and other interested parties concerning regulatory initiatives. Represent before industry groups. Prepare Regulatory Notices, rule guidance and other correspondence with member firms and their outside counsel. Conduct and oversee legal and other research into matters of regulatory policy as necessary to (1) develop rule proposals and to respond to internal and external comments, and (2) respond to interpretive and exempted requests. Identify and present original, creative, innovative and sophisticated solutions and proposals for changes to existing rules, including the elimination or reduction of unnecessary regulation and the adoption of new rules. Serve as liaison to advisory committees as assigned. Keep abreast of and analyze SEC, industry and other self-regulatory organization initiatives, and develop and maintain strong working relationships with SEC staff and other regulators. Attend and speak at regulatory policy public conferences and meetings of advisory committees on areas of subject matter expertise. Lead or participate in ad hoc special projects and initiatives as requested. Provide status reports of assigned matters or projects. Develop communications as needed for Chief Legal Officer and other senior management. Provide and implement suggestions to increase efficiency and effectiveness of office procedures. Train and mentor other attorneys, regulatory analysts, legal assistants, and administrative assistants in OGC.

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