Assistant General Counsel, Office of Disciplinary Affairs

FINRA(6 days ago)

HybridFull TimeSenior$150,600 - $292,300Office of Disciplinary Affairs

About this role

The Assistant General Counsel at FINRA within the Office of Disciplinary Affairs provides legal review and oversight for disciplinary actions, ensuring compliance with federal securities laws and regulatory rules. The role involves collaboration across departments and supporting the development of disciplinary policies, requiring a high level of legal expertise and independent judgment.

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Required Skills

Legal Research
Regulatory Compliance
Disciplinary Law
Securities Laws
Legal Review
Legal Drafting
Regulatory Affairs
Investigation
Communication
Collaboration

Qualifications

Law Degree
Licensed to Practice Law
8+ Years Legal Experience
Knowledge of Securities Laws
Experience in Regulatory Enforcement

About FINRA

finra.org

A vibrant market is at its best when it works for everyone. Join the Industry or Take an Exam Register Have Questions or Concerns? Contact Us Look up FINRA Disciplinary Actions Search Cases Research a Broker or Firm Search Brokercheck Featured Member Firm Hub New FINRA Initiatives to Support Members, Markets, and the Investors They Serve By Robert Cook, President and CEO, FINRA. To serve its mission—promoting investor protection, market integrity, and vibrant capital markets—FINRA must continuously improve its regulatory policies and programs to make them more effective and efficient. During my time as CEO, we have worked hard

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