Principal Counsel, Regulatory

As Principal Counsel in FINRA's Office of General Counsel, Regulatory Policy, you will provide expert legal advice on new regulatory initiatives and rule changes, acting as a subject-matter resource across key areas. You'll brief senior leaders, prepare sophisticated board materials, and draft rule proposals for SEC filings under tight deadlines. You will collaborate with regulators and industry participants to shape policy while promoting investor protection and market integrity. This role offers the chance to influence regulatory policy at scale and highlight FINRA's values through cross-functional leadership.

• comprehensive health, dental and vision insurance
• 401(k) with company match
• tuition reimbursement
• generous paid time off and holidays
• volunteer service days
• discretionary bonus and retention benefits

• Advise the Board and FINRA advisory committees on regulatory initiatives and rule changes
• Brief senior executives on regulatory initiatives and communicate material analyses
• Serve as a legal knowledge resource within FINRA on designated subject areas
• Prepare Board materials with complex analyses to inform decisions
• Draft and refine rule proposals and filings to the SEC, incorporating stakeholder input
• Collaborate with REMA to assess economic impacts of rulemakings
• Engage with SEC, industry groups, and other stakeholders in regulatory discussions
• Present on regulatory policy at public conferences and advisory committee meetings
• Prepare Regulatory Notices and other guidance for member firms and counsel
• Conduct legal research to support rule proposals and responsive comments
• Develop innovative rule change proposals to reduce unnecessary regulation
• Maintain awareness of SEC and SRO initiatives and build strong regulator relationships
• Demonstrate FINRA's values and collaborate to protect investors and market integrity

• Law degree and licensed to practice in applicable jurisdictions
• Minimum of six (6) years of directly related legal experience
• Advanced working knowledge of securities laws, rules, and regulations
• Strong organizational skills
• Excellent oral and written communication skills
• Excellent judgment, analytical and interpersonal skills

• Analytical thinking
• Strong communication
• Collaborative mindset
• Advanced knowledge of securities regulatory framework
• Regulatory policy research and legal analysis
• Drafting rule proposals and regulatory filings