Director of Federal Regulatory Affairs and Senior Counsel

Financial Services Institute (FSI)
Washington, DC
Oct 16, 2019
Oct 19, 2019
Full Time
Job SummaryThe Financial Services Institute (FSI) seeks a highly-qualified, detail-oriented attorney to fill its Director of Federal Regulatory Affairs and Senior Counsel position. The successful candidate will be responsible for analyzing changes in applicable state and federal securities laws; assessing the impact of those changes on FSIA cents € (TM) s broker-dealer and financial advisor members; coordinating with FSIA cents € (TM) s external and internal stakeholders to prepare and deliver high-quality, written advocacy documentation; and providing legal advice and counsel to FSIA cents € (TM) s advocacy staff.The Director of Federal Regulatory Affairs and Senior Counsel will: i) be a member of FSIA cents € (TM) s legal advocacy and Federal Regulatory Affairs teams; ii) provide legal support and counsel to FSIA cents € (TM) s State Affairs and Legislative Affairs teams; and iii) assist in executing FSIA cents € (TM) s federal regulatory advocacy efforts.Essential functions of the position include:A cents € cents monitoring federal regulatory activity,A cents € cents analyzing the impact of proposed federal regulation and/or federal regulatory action on FSI's broker-dealer and financial advisor members,A cents € cents building and maintaining constructive strategic relationships, including with policymakers and other trade associations,A cents € cents reviewing advocacy documentation drafted by FSI staff,A cents € cents drafting high-quality, comment letters in response to proposed legislation, rules or regulations; or in response to action taken by applicable policymakers,A cents € cents analyzing amicus brief opportunities and recommending a course of action,A cents € cents up to 10% travel, andA cents € cents leading by example through daily demonstration of a commitment to FSIA cents € (TM) s core values, including:A' A' A' A' o Results A cents € " We strive for excellence in everything we do, from impactful advocacy toA' superior service for all our stakeholders.A' oA' A' Integrity- We are accountable for our words and actions and demonstrate integrity and transparency in our work. We show kindness and consideration to one another at all times.A' A' A' A' o Collaboration A cents € " We benefit from the collective genius of our team by engaging in collaborative decision-making based on trust in each otherA cents € (TM) s motives and respect for each otherA cents € (TM) s views.A' A' A' A' o Balance A cents € " We promote the well-being of our employees by creating an environment in which we can create a healthy balance between FSI and our priorities outside work.Minimum QualificationsThe minimum qualifications for the Director of Federal Regulatory Affairs and Senior Counsel position are as follows:A cents € cents JD from an accredited law school,A cents € cents Admission to practice law in the United States,A cents € cents A minimum of 4 yearsA cents € (TM) experience with a law firm, federal or state financial regulator, or a combination of both,A cents € cents Detail-oriented, creative and flexible,A cents € cents A solutions-driven approach to problem solving,A cents € cents Demonstrated ability to effectively multi-task,A cents € cents Ability to serve as a trusted advisor, strategic partner and collaborator with peers, leadership and FSI broker-dealer and financial advisor members,A cents € cents Strong analytical and legal skills, andA cents € cents Ability to work towards, and meet deadlines or, where necessary and appropriate, to proactively communicate the need to establish new deadlines.Preferred QualificationsOne or more of the following qualifications would be preferred, but are not required:A cents € cents Prior experience working for FINRA, SEC, MSRB or a state regulatory authority,A cents € cents Knowledge and familiarity with the Investment Advisers Act of 1940 and the Investment Company Act of 1940, and/orA cents € cents ERISA experience.About FSIFSI is the only organization advocating solely on behalf of independent financial advisors and independent financial services firms. Since 2004, through advocacy, education and public awareness, FSI has successfully promoted a more responsible regulatory environment for more than 100 independent financial services firm members and their 160,000+ affiliated financial advisors A cents € " which comprise over 60% of all producing registered representatives. We effect change through involvement in FINRA governance as well as constructive engagement in the regulatory and legislative processes, working to create a healthier regulatory environment for our members so they can provide affordable, objective advice to hard-working Main Street Americans. For more information, please visit .Equal Opportunity EmployerAll qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the personA cents € (TM) s relatives, friends or associates.A' A' SalarySalary commensurate with experienceCompetitive benefits packageA' Interested candidates may also forward their resume and a cover letter to resumes@A'