Director of Federal Regulatory Affairs and Senior Counsel

Financial Services Institute (FSI)
Washington, DC
Oct 17, 2019
Oct 20, 2019
Full Time
Job Summary The 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 FSI's broker-dealer and financial advisor members; coordinating with FSI's external and internal stakeholders to prepare and deliver high-quality, written advocacy documentation; and providing legal advice and counsel to FSI's advocacy staff. The Director of Federal Regulatory Affairs and Senior Counsel will: i) be a member of FSI's legal advocacy and Federal Regulatory Affairs teams; ii) provide legal support and counsel to FSI's State Affairs and Legislative Affairs teams; and iii) assist in executing FSI's federal regulatory advocacy efforts. Essential functions of the position include: * monitoring federal regulatory activity, * analyzing the impact of proposed federal regulation and/or federal regulatory action on FSI's broker-dealer and financial advisor members, * building and maintaining constructive strategic relationships, including with policymakers and other trade associations, * reviewing advocacy documentation drafted by FSI staff, * drafting high-quality, comment letters in response to proposed legislation, rules or regulations; or in response to action taken by applicable policymakers, * analyzing amicus brief opportunities and recommending a course of action, * up to 10% travel, and * leading by example through daily demonstration of a commitment to FSI's core values, including: o Results - We strive for excellence in everything we do, from impactful advocacy to superior service for all our stakeholders. o 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. o Collaboration - We benefit from the collective genius of our team by engaging in collaborative decision-making based on trust in each other's motives and respect for each other's views. o Balance - 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 Qualifications The minimum qualifications for the Director of Federal Regulatory Affairs and Senior Counsel position are as follows: * JD from an accredited law school, * Admission to practice law in the United States, * A minimum of 4 years' experience with a law firm, federal or state financial regulator, or a combination of both, * Detail-oriented, creative and flexible, * A solutions-driven approach to problem solving, * Demonstrated ability to effectively multi-task, * Ability to serve as a trusted advisor, strategic partner and collaborator with peers, leadership and FSI broker-dealer and financial advisor members, * Strong analytical and legal skills, and * Ability to work towards, and meet deadlines or, where necessary and appropriate, to proactively communicate the need to establish new deadlines. Preferred Qualifications One or more of the following qualifications would be preferred, but are not required: * Prior experience working for FINRA, SEC, MSRB or a state regulatory authority, * Knowledge and familiarity with the Investment Advisers Act of 1940 and the Investment Company Act of 1940, and/or * ERISA experience. About FSI FSI 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 - 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 Employer All 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 person's relatives, friends or associates. Salary Salary commensurate with experience Competitive benefits package Interested candidates may also forward their resume and a cover letter to