Senior Reg Policy Specialist, Regulatory

Senior Regulatory Policy Specialist

The Senior Regulatory Policy Specialist provides high quality advice and support to OGC's Regulatory Policy and Capital Markets Group attorneys with respect to rulemaking and interpretive functions for the organization, and assists in providing legal and advisory support to other FINRA departments and committees, and interpretive guidance to FINRA members and others. This entails applying substantial knowledge and analytical skills regarding various rules, regulations and procedures to ensure that regulatory filings and projects are properly managed and administered. The Senior Regulatory Policy Specialist also represents OGC both within and outside of FINRA. Additionally, the Senior Regulatory Policy Specialist assists with the training of the department's analyst staff. The Senior Regulatory Policy Specialist must have demonstrated strong project management skills enabling the individual to work independently on complex and sensitive projects on a regular basis.

Essential Job Functions :

• Provides high quality support to OGC's Regulatory Policy and Capital Markets attorneys, including reviewing or assisting in drafting rule filings and related documents for submission to the SEC, ensuring that all documents are prepared in accordance with required format and include appropriate citations.
• Provides support to OGC by performing sophisticated research of regulatory issues raised under federal securities laws and regulations, FINRA rules, and other relevant market rules, and provides thorough analyses of issues, rules, and policies.
• Drafts well-written memoranda and comment summaries and assists with responses to comments, displaying advanced understanding of FINRA rules and procedures.
• Assists in drafting Board Action Items and other materials for submission to FINRA Board, as well as Regulatory Notices and similar communications.
• Assists in coordinating with the Office of Regulatory Economics and Market Analysis (REMA) regarding inclusion of economic impact assessments in rulemakings and related documents.
• Keeps abreast of and analyzes SEC, industry, and other self-regulatory organization initiatives.
• Demonstrates project management skills by monitoring timeframes for completion of projects, publication of Regulatory Notices, and resolution of issues.
• Plays a substantial role in supporting complex and high-profile rule filings, and other sensitive projects within FINRA. Proofreads rule filing related documents before posting on the FINRA website and distribution to the public.
• Updates OGC's rule filing templates in response to changes in SEC rules and procedures, as necessary.
• Tracks and monitors securities regulation issues before the FINRA Board and SEC.
• Creates, updates, and distributes various departmental status reports used to inform recipients of the status of various rule filing and regulatory matters.
• Takes initiative in identifying the need to amend or adopt department procedures or reports.
• Provides support for OGC by representing the department in matters in company-wide task forces and projects, and coordinating with management and appropriate staff to prepare for regulatory reviews or oversights.
• Undertakes special projects, as requested, by Executive and Senior Management, such as supporting FINRA's role in international initiatives.

Other Responsibilities :

Education / Experience Requirements :

Work Conditions :

For work that is performed in CA, CO, IL, Jersey City, NJ, New York City, NY, MA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate's skill set, level of experience, education, and internal peer compensation comparisons.

CA : Minimum Salary $109,600, Maximum Salary $206,200

CO

IL

Jersey City, NJ / NYC, NY : Minimum Salary $114,300, Maximum Salary $206,200

MA : Minimum Salary $95,300, Maximum Salary $197,600

MD / Washington, DC : Minimum Salary $109,600 Maximum Salary $197,600

NJ State : Minimum Salary $104,900, Maximum $206,200

NY State : Minimum Salary $95,300, Maximum Salary $206,200

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.