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Job Details

Principal Counsel Regulatory

Company name

4-6 yrs required

Washington, DC, United States

Employment Type


Posted on
Apr 21, 2020

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Render legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject matter resource in one or more areas of legal expertise.

This is experienced-level professional work in which incumbents are defining their assigned roles, increasing their skills, and working with other experienced attorneys.

Essential Job Functions:

  • Provide interpretative advice to the Board of Governors and FINRA advisory committees with respect to regulatory initiatives and rule changes under consideration by the Board.
  • Assist in briefing and communicating complex and sensitive regulatory initiatives to senior executives of FINRA. Must be able to provide such analysis under urgent deadlines.
  • Serve as a source of legal expertise within FINRA in subject areas and provide 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 increased 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 FINRA before industry groups.
  • Prepare Regulatory Notices, rule guidance and other correspondence with member firms and their outside counsel.
  • Demonstrate increased proficiency in conducting legal and other research into matters of regulatory policy as necessary to, among other things (1) develop rule proposals and to respond to internal and external comments, and (2) respond to interpretive and exemptive requests.


Other Responsibilities:

  • 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.

Education/Experience Requirements:

  • Law degree from an accredited law school, admission to a bar, and a minimum of 4-6 years of directly related legal experience.
  • Advanced working knowledge of laws, rules, and regulations governing the securities industry.
  • Strong organizational skills. Excellent oral and written communication skills.
  • Excellent judgment, analytical, and interpersonal skills.

Work Conditions:

  • Normal office conditions. Occasional travel and extended hours may be required.
  • Together with senior-level OGC attorneys, 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 FINRA 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 or assist in the preparation of the materials for, regulatory policy public conferences and meetings of FINRA advisory committees on areas of subject matter expertise.

Company info


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