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Vice President & Associate General Counsel, Commercial Transactions - Office of General Counsel - Washington, D.C at FINRA in Washington, Washington DC

Posted in Legal 30+ days ago.

Type: Full-Time

Job Description:

We Work to Protect Investors. Join our Team.


The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Vice President & Associate General Counsel opening in Washington, D.C. To be considered for this position, please submit your resume through our career site at – no phone calls, please.


Job Summary:

The Vice President must independently direct and guide FINRA’s Commercial Transactions business function, including the complex negotiation of high-profile agreements with external parties. The incumbent must independently exercise legal expertise while developing a negotiating strategy and creating solutions to problems that arise in complex negotiations, and must do so in conjunction with the senior leadership team, including the Office of the CEO and Chief Legal Officer (CLO), the CIO and the CFO. The incumbent must independently direct negotiation on issues concerning FINRA’s third-party commercial and regulatory sharing relationships, intellectual property protection and all commercial aspects of FINRA’s business and regulatory programs.  The person in this role must establish and maintain effective relationships with the leaders of all business units within FINRA and must guide business units without imbedded legal expertise concerning legal concepts with which they are unfamiliar. This person must perform these functions with minimal or no supervision, must exhibit a high level of independent judgment and creativity in solving problems, and will be accountable for the exercise of that judgment and creativity.


Essential Job Functions:

  • Supervise and manage deal negotiations through their lifecycle, exercising independent judgment regarding acceptable levels of legal and business risk related to complex commercial, intellectual property, and risk management terms and solving problems related to these complex issues, at all times with an awareness of FINRA’s particular position as a regulator and technology company.

  • Identify and educate senior management on risks; solve the problems that these risks present; and mitigate these risks through careful review, negotiation and drafting of agreements across all regulatory, technology and business functions, supporting all phases of commercial and technology engagements, with an emphasis on leading negotiations covering major third party relationships.

  • With creativity and innovativeness establish a strategy with senior management for FINRA’s negotiation of its agreements and solving problems that arise in complex negotiations. 

  • Directly supervise, train, and mentor attorneys in the Commercial Transactions function, carefully evaluating and curating the balance of skill sets necessary to fully support the company’s full suite of business and regulatory lines in furtherance of managing legal and business risks.

  • Monitor and manage the flow of attorney workload to maximize support of FINRA’s business and regulatory functions, exercising judgment to prioritize deals based on FINRA’s strategic goals.

  • Continually evaluate and forecast the direction of necessary development of legal knowledge capital, know-how, templates and effective legal tools in order to improve efficiencies and improve legal services.

  • Demonstrate deep knowledge of software licensing, cloud/SaaS, data privacy, security and compliance issues attendant upon technology engagements; quickly grasp and independently and creatively solve significant legal issues in all areas of company contracts.

  • Independently direct FINRA’s negotiation of agreements with regulatory agencies, fellow non-governmental regulators, foreign regulators, and other players in the financial services industry, for both services and information sharing arrangements.

  • Ensure that all third-party service providers undergo proper risk review by risk domain stakeholders at FINRA before finalizing engagements.

  • Engage and supervise the assignments of outside counsel, who normally will be retained for their technical expertise. 

  • Ensure compliance with the overall procurement policy, developed and enforced in partnership with the Finance and Procurement Departments. 

  • Supervise creation of corporate subsidiaries as requested by senior management.

  • Administer FINRA’s intellectual property (IP) program, providing expert advice on IP issues.

Other Responsibilities:

  • Work with the CLO and Chief Compliance Officer to set the overall strategy of Corporate OGC.

  • Develop and maintain a positive and supportive work environment and culture; develop talent and provide meaningful performance feedback.

  • Coordinate and provide status reports of assigned matters or projects.

  • Fulfill administrative reporting tasks.

Education/Experience Requirements:

  • 8+ years of relevant legal experience, including significant contracts/commercial experience and a history of having independently engaged in complex negotiations; law degree from a top tier law school, admitted to practice law in DC or eligible to waive into the DC bar.

  • First chair experience negotiating against partner level private practice lawyers and senior in-house lawyers; being a highly skilled negotiator, with proven success closing complex services and technology deals from both the customer and vendor sides. Demonstrated pragmatic approach to negotiations; strong decision-making and problem-solving capabilities; able to see the big picture and solve for obstacles, driving deals to closure quickly within reasonable risk parameters;

  • Exceptional influencing skills; experience partnering with senior management to understand their needs and to develop strategy for meeting needs; ability to build effective working relationships across a varied business and regulatory structure, to communicate effectively with internal business partners, and to shift fluidly between regulatory and business concerns.

  • Proven independence and proficiency in making business-oriented yet legally compliant recommendations to relevant client groups; ability to juggle multiple matters and multi-task and prioritize tasks to ensure that work is completed in a timely and efficient matter.

  • Excellent contract drafting skills; experience with working from third-party’s agreements.

  • Excellent verbal and written communication skills. 

Working Conditions:

  • Normal office conditions.  Occasional travel and extended hours required from time to time. 

To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.


The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.


Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter into your browser to reach our site directly.


FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.


In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. 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. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.


As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.



FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers.

FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage.

In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country.

Find out more about us and how we work—and view our current openings—at

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. 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.


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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.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.


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