The Principal Counsel in Office of General Counsel (OGC), Regulatory Policy renders legal advice and support in connection with the complete life cycle of new regulatory initiatives and serves as subject matter resource in one or more areas of legal expertise. This position is an experienced individual contributor who demonstrates increasing subject matter expertise and independence.

Essential Job Functions:

• Assists in providing advice to the Board of Governors and FINRA advisory committees with respect to regulatory initiatives and rule changes under consideration by the Board.
• Assists in briefing and communicating regulatory initiatives to senior executives of FINRA. Must be able to provide such analysis under urgent deadlines.
• Serves as a source of legal expertise within FINRA in subject areas and provides advice on ques...