Supervision of these departments also involves creative development of new regulatory initiatives based on knowledge of the program areas and active interaction with member participants in these areas; providing expert advice and counsel to the Chief Legal Officer on high-impact, legally and politically complex, and sensitive regulatory initiatives and rule changes; and serving as a subject matter expert including legal and policy expertise in the departments’ program areas. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA. ©2020 FINRA.
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