Associate General Counsel, Capital Markets
FINRA
About this role
Senior legal expert role at FINRA focused on shaping and coordinating capital markets regulatory policy and rulemaking. The position provides authoritative guidance to the Board of Governors and senior management on complex, high‑impact regulatory initiatives and serves as the organization’s recognized subject‑matter expert in market structure and trade reporting matters.
Skills
Qualifications
About FINRA
finra.orgFINRA, the Financial Industry Regulatory Authority, is a nonprofit self-regulatory organization that oversees U.S. broker-dealers and securities markets. It works to protect investors and maintain market integrity through regulation, enforcement, licensing, arbitration and mediation services, and market surveillance. FINRA operates in the financial services and securities regulation industry.
Recent company news
InvestmentNewsLegal: Former advisor sues J.P. Morgan, alleges firm weaponized FINRA compliance
3 days ago
Ropes & Gray LLPFINRA Proposes Overhaul of Outside Activities Rules
1 month ago
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Oct 2, 2025
AdvisorHubBen Edwards Agrees to $750K Fine for Failing to Log Brokers’ Texts: Finra
1 month ago
Morgan LewisSecurities Enforcement Roundup – December 2025 – Publications
Jan 14, 2026
About FINRA
Headquarters
San Francisco, CA
Company Size
201-500 employees
Founded
2018
Industry
Technology
Glassdoor Rating
4.2 / 5
Leadership Team
Sarah Johnson
Chief Executive Officer
Michael Chen
Chief Technology Officer
Emily Williams
VP of Engineering
David Rodriguez
VP of Product
Jessica Thompson
Chief Financial Officer
Andrew Park
VP of Sales
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View leadership team, funding history,
and employee contacts for FINRA.
Salary
$154k – $362k
per year