Description

Job Purpose
To promote a healthy regulatory environment for FSI’s members by advocating for positions that promote access to financial advice, investor protection, and enable members to maintain and grow their businesses.

Duties and Responsibilities

• Research and monitor federal and state regulatory landscape, including new rulemaking and guidance; recommend proposed responses to the regulatory proposals
• Draft comment letters for submission to federal and state regulators
• Independently manage assigned projects and advocacy initiatives from issue identification through execution, while appropriately coordinating with Advocacy Team leadership
• Think strategically about the needs of FSI members and how FSI positions itself; look for solutions-driven approaches to issues
• Engage with FSI members purposefully and professionally to gather information on how proposed regulations would impact their businesses as well as how their businesses are evolving
• Assist the Vice President of Regulatory Affairs & Deputy General Counsel to develop and implement FSI’s regulatory strategy, as approved by FSI’s Board and Executive Vice President & General Counsel
• Draft internal memos on assigned topics
• Participate in meetings with regulators (including but not limited to SEC, DOL, FINRA, or state regulators), including by preparing materials in advance of such meetings to inform senior FSI staff on subject-matter specific material
• Contribute to Advocacy Priority Teams; work to become a subject matter expert on assigned priority issues
• Participate in policy task forces and working groups to support the development, analysis, and advancement of industry policy initiatives
• Provide subject matter input to create member educational programming; assist in preparing FSI executives for speaking engagements
• Review communications and articles drafted by the Communications team to ensure legal and substantive accuracy
• Support member councils, including by participating in meetings, thinking strategically about their needs, and engaging with them purposefully

Requirements

Minimum Qualifications

• JD from an accredited law school
• Admission to practice law in the United States
• A minimum of 3 years of experience with a law firm, federal or state financial regulator, in-house legal position, or securities-related trade association
• Working knowledge of regulatory issues affecting both broker-dealers and registered investment advisers, including familiarity with the Investment Advisers Act of 1940
• Strong analytical and legal skills
• Detail-oriented with strong communication skills
• Ability to work and complete tasks independently in a timely manner
• Demonstrated ability to exercise sound judgment, take initiative, and operate effectively in a collaborative, fast-paced environment
• Demonstrate a commitment to FSI’s core values, including:
  • Results - We strive for excellence in everything we do, from impactful advocacy to superior service for all our stakeholders.
  • 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.
  • 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.
  • Balance - We promote the wellbeing of our employees by creating an environment in which we can create a healthy balance between FSI and our priorities outside work.
  • Growth - We demonstrate our commitment to continuous improvement by partnering with each of our employees to champion their professional development while leveraging their growing expertise to advance FSI's strategic objectives. These partnerships foster mutual support throughout an employee's time at FSI and beyond.