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assistant general counsel - vp, regulatory initiatives Jobs in Washington

assistant general counsel - vp, regulatory initiatives

assistant general counsel, regulatory Jobs in Washington

assistant general counsel, regulatory

assistant general counsel, standards Jobs in Washington

assistant general counsel, standards

assistant general counsel vp regulatory initiatives

Wells Fargo

<div><b>About this role:</b><br>
<br>
Wells Fargo is seeking an Assistant General Counsel - VP in Legal as part of the Regulatory Initiatives Team Section of the Public, Regulatory and Corporate Division of the Legal Department.<br>
<br>
This role will be supporting activities relating to the company's engagement efforts on Digital Assets, Payment Stablecoins, blockchains, distributed ledger technology (DLT) and Cryptocurrencies, and related items (including items that may relate to legislative advocacy, regulatory developments and rules, and external communications). The successful candidate will have strong legal research and analysis skills, be familiar with the regulatory rulemaking process, and an appreciation for risk management in relation to Wells Fargo's compliance with laws, regulations and rules.
<br>
<br>
For additional information on this line of business, refer to the external Careers Site at Wellsfargo.com/career.<br>
<br>
<b>In this role, you will:</b><ul><li>
Research and analyze laws, regulations, and rules to assess applicability to Wells Fargo</li><li>
Provide legal advice related to various rulemakings and other regulatory activities, including advocacy through trade organizations, for areas of critical importance to the bank, including novel areas of law
</li><li>Instruct and liaise with outside counsel as required</li><li>
Provide guidance to management on legal and regulatory matters impacting business strategy and policy or claims against the Company</li><li>
Proactively identify policy, legal, and regulatory matters pertaining to area of expertise, and evaluate the legal risk and impact</li><li>
Independently resolve moderately complex issues and lead teams to meet deliverables</li><li>
Exercise considerable discretion and may serve as the primary legal contact for assigned clients</li><li>
Collaborate within the department and across business and staff functions to address legal and risk issues in a manner consistent with the best interests of Wells Fargo</li><li>
Coach, mentor, and provide oversight for less experienced attorneys or staff</li><li>
Lead initiatives of varying scope and complexity</li></ul><b>
Required Qualifications:</b><ul><li>
5+ years of Law experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education</li><li>
Active State Bar membership</li></ul><b>
Desired Qualifications:</b><ul><li>
3+ years of practicing as an attorney with a major law firm, banking regulatory agency, or in-house law department</li><li>
2+ years of experience advising complex financial institutions on regulatory matters</li><li>
Familiarity with digital assets, blockchains, cryptocurrencies, and traditional securities, payments, and/or commodities law</li><li>
Experience analyzing novel legal and regulatory issues in area of practice and providing effective counsel to clients on complex legal matters</li><li>
Ability to work and influence successfully within a heavily matrixed environment and build effective business partnerships with all levels of team members</li><li>
Experience working with changing priorities and deadlines</li><li>
Preferred in-house experience at a large financial firm or experience at a federal bank regulatory agency</li><li>
Ability to work effectively in a complex, fast-moving environment with a high degree of collaboration</li><li>
Strong organizational and project management skills</li><li>
Strong leadership and problem-solving skills</li><li>
Strong attention to detail and accuracy</li><li>
Excellent verbal, written, and interpersonal communication skills</li></ul><b>
Job Expectations:</b><ul><li>
Ability to travel up to 10% of the time</li></ul><b>
Pay Range</b><br>
<br>
Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.<br>
$159,000.00 - $305,000.00<br>
<b>Benefits
</b><br>
<br>
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.<ul><li>
Health benefits</li><li>
401(k) Plan</li><li>
Paid time off</li><li>
Disability benefits</li><li>
Life insurance, critical illness insurance, and accident insurance</li><li>
Parental leave</li><li>
Critical caregiving leave</li><li>
Discounts and savings</li><li>
Commuter benefits</li><li>
Tuition reimbursement</li><li>
Scholarships for dependent children</li><li>
Adoption reimbursement</li></ul><b>
Posting End Date:</b><br>
2 Nov 2025<br>
<ul><li><b>Job posting may come down early due to volume of applicants.
</b></li></ul><br>
<b>We Value Equal Opportunity</b><br>
<br>
Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.<br>
<br>
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.<br>
<br>
<b>Applicants with Disabilities</b><br>
<br>
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .<br>
<br>
<b>Drug and Alcohol Policy</b><br>
<br>
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.<br>
<br>
<b>Wells Fargo Recruitment and Hiring Requirements:</b><br>
<br>
a. Third-Party recordings are prohibited unless authorized by Wells Fargo.<br>
<br>
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.</div>

Assistant General Counsel - VP, Regulatory Initiatives

Carlos Rosario International Public Charter School

<div><div><div><div><div><div><p><b><i>Are you passionate about contributing to a strong mission to serve the local adult immigrant community by providing advisement to senior leadership on a range of legal matters and policies? If so, then Carlos Rosario International Public Charter School (CRIPCS) has the perfect opportunity for you.</i></b></p><div></div><p><i><br>
Carlos Rosario International Public Charter School (CRIPCS) is an adult charter school that delivers high-quality education, career training, and supportive services that enable adult immigrants to realize their dreams while strengthening our community and economy. When you join the team at CRIPCS you become part of a unique, performance-driven organization where students are the center of our work and excellence permeates.</i></p><p><b><i>
The mission of Carlos Rosario International Public Charter School is to deliver high-quality education, career training, and supportive services that enable adult immigrants to realize their dreams while strengthening our community and economy</i></b><i>.</i></p><p></p><p><b><i><br>
Our organization's values guide our behavior:</i></b></p><ul><li><b><i>
Integrity</i></b></li><li><b><i>
Respect</i></b></li><li><b><i>
Perseverance</i></b></li><li><b><i>
Compassion</i></b></li><li><b><i>
Inclusivity</i></b></li><li><b><i>
Collaboration</i></b></li></ul><p><b><br>
</b></p><div></div><p><b>General Counsel</b></p><p></p><p><b><br>
Position Summary</b></p><p>
Carlos Rosario is seeking a seasoned and relationship-oriented General Counsel (GC) to serve as the school&rsquo;s chief legal advisor and a key member of the senior leadership team. The General Counsel provides practical, strategic advice across a wide range of legal, governance, and compliance matters while partnering closely with the CEO, Board of Trustees, and senior leaders. The GC oversees all legal affairs, ensures compliance with federal, state, and local regulations, and provides guidance on employment and labor issues, contracts, and risk management. In partnership with the CEO and Board, the GC also monitors and interprets policy developments in the District of Columbia that impact CRIPCS and its students, including adult education, immigration, and charter regulation, and helps to strengthen relationships with DC government agencies and policymakers. The ideal candidate is a mission-driven, strategic, and human-centered legal leader who thrives in collaborative environments. They combine strong legal expertise with sound judgment, cultural humility, and a relational approach, offering counsel that is both legally rigorous and grounded in CRIPCS&rsquo;s commitment to equity, inclusion, and community. This position can be structured as full-time or part-time (minimum 30 hours/week) depending on the selected candidate&rsquo;s background and capacity. Candidates must be based in or near Washington, DC, with a hybrid schedule (three days per week on-site) to foster accessibility and trust with staff and students.</p><p></p><p><b><br>
Responsibilities:</b></p><p>
Governance &amp; Board Support (25%)</p><ul><li>Serve as chief legal advisor to the Board of Trustees and CEO on corporate governance, compliance, and nonprofit law.</li><li>Partner with the Director of Executive Administration to plan and support Board and committee meetings, ensuring effective preparation, documentation, and follow-up.</li><li>Serve as staff liaison to the Governance &amp; Nominating and Executive Committees, providing counsel on bylaws, policies, and board recruitment.</li><li>Maintain all organizational governance documents and ensure compliance with charter and regulatory requirements.</li></ul><p></p><p><br>
Employment Law, Employee Relations &amp; Culture (20%)</p><ul><li>Advise on employment law, workplace policies, investigations, and employee relations matters, partnering closely with Human Resources.</li><li>Provide sound counsel on employee relations, particularly in a shifting charter school landscape.</li><li>Offer strategic input on culture, climate, and inclusion-related matters, ensuring alignment with CRIPCS&rsquo;s equity-centered values.</li></ul><p></p><p><br>
Compliance, Risk Management &amp; Contracts (20%)</p><ul><li>Ensure compliance with CRIPCS&rsquo;s charter agreement and all applicable local, state, and federal laws and regulations.</li><li>Assist with contract negotiation and review, including vendor, real estate, technology, and service agreements.</li><li>Identify and mitigate organizational risks; manage outside counsel when specialized expertise is needed.</li><li>Review and assess internal contract procurement and insurance activities to ensure institutional accountability.</li></ul><p></p><p><br>
Policy, Advocacy &amp; External Affairs (15%)</p><ul><li>Monitor and interpret DC and federal policy developments impacting adult education, immigration, and charter operations.</li><li>Forecast federal and local policy developments, assessing their implications for CRIPCS&rsquo;s operations, workforce, and mission, and proactively advise leadership to inform strategic planning.</li><li>Partner with the CEO and CAO to engage with DC agencies (e.g., DC Council, OSSE, DC PCSB) and represent CRIPCS&rsquo;s interests.</li><li>Draft or review policy briefs, public comments, and testimony as appropriate.</li><li>Assist in fostering relationships with peer organizations and external partners to advance CRIPCS&rsquo;s mission and amplify its impact.</li></ul><p></p><p><br>
Strategic Partnership &amp; Advisory (10%)</p><ul><li>Serve as a trusted advisor to the CEO and senior leadership team, contributing to strategic decision-making.</li><li>Translate complex legal concepts into accessible, actionable guidance for non-attorneys.</li><li>Provide sound judgment, discretion, and clear communication across all areas of the organization.</li></ul><p></p><p><br>
Leadership &amp; Values Alignment (10%)</p><ul><li>Model CRIPCS&rsquo;s values and contribute to a positive, collaborative organizational culture.</li><li>Maintain the highest ethical standards, confidentiality, and professionalism.</li><li>Mentor and support staff in understanding legal and ethical considerations in their work.</li></ul><p></p><p><b><br>
Qualifications</b>:</p><p></p><p><br>
Required:</p><ul><li>
Juris Doctor (JD) and admission to the DC Bar or eligibility for admission upon hire.</li><li>
Minimum 10&ndash;15 years of progressively responsible legal experience, including in-house or advisory roles.</li><li>
Demonstrated expertise in employment law, governance, compliance, and contracts.</li><li>
Strong written and verbal communication skills with the ability to translate legal information for non-lawyers.</li><li>
Proven ability to build trust and credibility across diverse teams and stakeholders.</li><li>
Deep commitment to CRIPCS's core values and Diversity, Equity, Inclusion, and Belonging (DEIB) and ability to model those values in relationships with colleagues and partners.</li><li>
Must be able to provide proof of completed COVID-19 vaccination.</li><li>
To ensure that you understand the school&rsquo;s commitment to our work and the expectations of all school community members in advancing Diversity, Equity, Inclusion, and Belonging work. We celebrate diversity and are committed to creating an inclusive environment for all employees.</li></ul><p><br>
 Preferred:</p><ul><li>Experience in a nonprofit, education, or charter school environment.</li><li>Familiarity with DC&rsquo;s regulatory ecosystem (DC Council, OSSE, DC PCSB, etc.).</li><li>Understanding of immigration law and employment sponsorship processes.</li><li>Spanish language (or other language) proficiency or demonstrated ability to work effectively in a multilingual environment. Our Commitment to the General Counsel:</li><li>Flexible structure: full-time or part-time (minimum 30 hours/week), with benefits eligibility at 30+ hours/week.</li><li>Hybrid work schedule, with an expectation of three days on-site per week aligned with campus operations.</li><li>Comprehensive health benefits and retirement match (up to 6% of base salary).</li><li>46 total days of time off annually (combination of vacation, holidays, sick, and personal time).</li><li>Deep investment in professional development, including leadership coaching, continuing legal education (CLE), and sector conferences.</li></ul><p></p><p><b><br>
Competitive salary range</b></p><p>
$200,000&ndash;$225,000 per year, commensurate with experience.</p><p></p><p><b><i><br>
Even if you don&rsquo;t feel that all of the requested qualifications aren&rsquo;t your current strengths, we still welcome you to apply. We invite all candidates of diverse backgrounds to apply.</i></b></p><p></p><p><br>
How to Apply: Carlos Rosario is partnering with She Rose Solutions to find the next General Counsel. Please use this link to submit your application and direct all questions to liz@sherosesolutions.com. She Rose Solutions will review all applicants and, upon qualification, contact you to determine next steps.</p><p></p><p><b><br>
This</b><b> position will be open until filled.</b></p></div></div></div></div></div></div><div></div>

General Counsel

CFP Board - Certified Financial Planner Board of Standards

<div><p>Under limited supervision, the Assistant General Counsel of Standards leads the development of standards and guidance materials concerning CFP Board&rsquo;s <i>Code of Ethics and Standards of Conduct</i>; also provides <i>ad hoc</i> assistance with the adjudication of alleged violations of the <i>Code and Standards</i> and contributes to the development of comment letters in support of our public policy positions</p><p><b>
Essential Functions</b></p><ul><li>
Works with and leads CFP Board&rsquo;s Standards Resource Commission in developing guidance materials interpreting CFP Board&rsquo;s <i>Code of Ethics and Standards of Conduct</i>, including published materials and responses to individual requests for guidance submitted via email</li><li>
Serves as a public spokesperson promoting CFP Board&rsquo;s ethics guidance materials</li><li>
Assists the General Counsel with the development of standards, including CFP Board&rsquo;s <i>Code of Ethics and Standards of Conduct</i>, <i>Sanctions Guidelines</i>, <i>Fitness Standards</i>, and <i>Procedural Rules</i></li><li>
Works with councils, commissions, and working groups charged with the responsibility of assisting with the development of, and feedback concerning, CFP Board&rsquo;s standards and guidance materials</li><li>
Develops extensive background memoranda, agendas, minutes, and other materials for council and commission meetings</li><li>
Provides occasional assistance with the adjudication of alleged violations of the <i>Code and Standards</i>, including issuing relevant notices and materials, developing advice to hearing panels and to the Disciplinary and Ethics Commission (DEC), and drafting press releases and Case Histories (ACH)</li><li>
Leads the development of ethics CE materials, in collaboration with CFP Board&rsquo;s Continuing Education department, and in alignment with the <i>Code and Standards</i></li><li>
Presents CFP Board&rsquo;s ethics CE content to CFP&reg; professionals</li><li>
Provides legal research and writing support for issues pertaining to federal and state regulation of broker-dealers, registered investment advisers, insurance agents and other financial professionals</li><li>
Contributes to the development of comment letters to regulators, SROs, and other relevant bodies that support CFP Board&rsquo;s public policy positions</li><li>
Recommends procedures and policies that will improve upon the efficiency of the department</li><li>
Performs other duties as assigned</li></ul><p><b>
Background/Skills/Abilities Preferred</b></p><ul><li>
J.D. (Juris Doctorate) degree from an accredited law school</li><li>
Active status licensed attorney in any state or District of Columbia; eligible to be admitted in D.C.</li><li>
Eight+ years of legal practice experience at a financial services regulatory, large law firm, or in-house legal or compliance department, preferably in the financial services field, with demonstrated legal research, analytical, critical thinking, writing and communication skills.</li><li>
A working knowledge of broker-dealer, investment adviser and insurance regulations preferred.</li><li>
Exemplary written and oral communications skills, including the ability to summarize issues and the means to address them</li><li>
Demonstrated commitment to collaboration with volunteers and across organizational functions.</li><li>
Outstanding attention to detail, multi-tasking, time management, and organizational skills with ability to quickly prioritize and meet critical deadlines.</li><li>
Strong customer service focus and ability to effectively communicate</li><li>
Self-starter with strong motivation and sense of ownership</li><li>
Ability to quickly prioritize and meet critical and sometimes competing deadlines</li><li>
Ability to exercise discretion in handling confidential and sensitive matters</li><li>
Proficiency with Microsoft Office</li></ul><p><b>
About CFP Board</b></p><p>
CFP Board is the professional body for personal financial planners in the U.S. CFP Board consists of two affiliated organizations focused on advancing the financial planning profession for the public&rsquo;s benefit. <b>CFP Board of Standards</b> (501(c)(6)) sets and upholds standards for financial planning and administers the prestigious CERTIFIED FINANCIAL PLANNER&reg; certification &mdash; widely recognized by the public, advisors and firms as <i>the standard </i>for financial planners &mdash; so that the public has access to the benefits of competent and ethical financial planning. CFP&reg; certification is held by more than 106,000 people in the U.S. <b>CFP Board Center for Financial Planning</b> (501(c)(3)) addresses diversity and workforce development challenges and conducts and publishes research that adds to the financial planning profession&rsquo;s body of knowledge.</p><p>
This position works on programs which are part of the 501 (c)(3) and 501 (c)(6).</p><p>
This position is based in the Washington D.C. office and works a hybrid schedule which could be changed at any time.</p><p><i>
CFP Board believes that diversity of experience and perspective are strengths and seeks to continue to grow a highly committed, skilled, and collaborative staff.</i></p></div>

Assistant General Counsel, Standards

FINRA

<div></div><div>Render senior-level legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject matter resource in one or more areas of legal expertise. This is senior-level professional work in which incumbents are developing their roles, increasing their skills, assuming increased responsibility, and working under general guidance.<div></div><div>
Essential Job Functions:</div><ul><li>
With limited oversight, advise the Board of Governors and FINRA advisory committees with respect to complex and sensitive regulatory initiatives and rule changes under consideration by the Board.</li><li>
Assist in briefing and communicating complex and sensitive regulatory initiatives to senior executives of FINRA. Must be able to provide such analysis under urgent deadlines.</li><li>
Serve as a source of legal expertise within FINRA in many subject areas and provide expert advice on questions in these subject areas.</li><li>
Prepare Board materials that contain sophisticated analyses and discussions of competing policy or political considerations necessary for the informed judgment of the issues by the Board.</li><li>
Review and draft new rule proposals with greater independence; gather and incorporate views of industry participants, other regulators, senior staff and other interested parties; and prepare rule filings to the SEC.</li><li>
Work closely with Regulatory Economics and Market Analysis (REMA) in conducting economic impact assessments of rulemakings.</li><li>
Together with senior-level OGC attorneys, meet with senior staff of SEC, industry groups and other interested parties concerning regulatory initiatives.</li><li>
Represent FINRA before industry groups.</li><li>
Prepare Regulatory Notices, rule guidance and other correspondence with member firms, their outside counsel and other interested parties.</li><li>
Conduct and oversee legal and other research into matters of regulatory policy as necessary to (1) develop rule proposals and to respond to internal and external comments, and (2) respond to interpretive and exemptive requests.</li><li>
Identify and present original, creative, innovative and sophisticated solutions and proposals for changes to existing rules, including the elimination or reduction of unnecessary regulation and the adoption of new rules.</li><li>
Serve as liaison to FINRA advisory committees as assigned.</li><li>
Keep abreast of and analyze SEC, industry and other self-regulatory organization initiatives, and develop and maintain strong working relationships with SEC staff and other regulators.</li><li>
Attend and speak at regulatory policy public conferences and meetings of FINRA advisory committees on areas of subject matter expertise.</li><li>
Demonstration of FINRA&rsquo;s values</li><li>
Collaboration, both in-person and virtually, in furtherance of FINRA&rsquo;s mission of investor protection and market integrity</li></ul><div></div><div>
Other Responsibilities:</div><ul><li><div>
Lead or participate in ad hoc special projects and initiatives as requested.</div></li><li><div>
Provide status reports of assigned matters or projects.</div></li><li><div>
Develop communications as needed for Chief Legal Officer and other senior management.</div></li><li><div>
Provide and implement suggestions to increase efficiency and effectiveness of office procedures.</div></li><li><div>
Train and mentor other attorneys, regulatory analysts, legal assistants, and administrative assistants in OGC.</div></li></ul><div></div><div>
Education/Experience Requirements:</div><ul><li><div>
A law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements.</div></li><li><div>
A minimum of eight years of directly related legal experience.</div></li><li><div>
Advanced knowledge of laws, rules, and regulations governing the securities industry.</div></li><li><div>
Strong organizational skills.</div></li><li><div>
Excellent oral and written communication skills.</div></li><li><div>
Excellent judgment, analytical, and interpersonal skills.</div></li></ul><div></div><div>
Work Conditions:</div><ul><li><div>
Hybrid work environment, with defined in-person presence.</div></li><li><div>
Occasional travel and extended hours may be required.</div></li></ul><div></div><div>
For work that is performed in CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate&rsquo;s skill set, level of experience, education, and internal peer compensation comparisons.</div><div></div><div><br>
CA: Minimum Salary $150,600, Maximum Salary $305,000</div><div>
CO/FL/TX: Minimum Salary $131,100, Maximum Salary $254,000</div><div>
IL*/PA: Minimum Salary $144,000, Maximum Salary $279,500</div><div>
MA/MD/VA/Washington, DC: Minimum Salary $150,600, Maximum Salary $292,300</div><div>
NY*/NJ: Minimum Salary $150,600, Maximum Salary $305,000</div><div></div><ul><li><br>
Including positions performed outside the state but reporting to an office or manager in that state.</li></ul><div></div><div>
Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.</div><div></div><div>
#LI-Hybrid</div><div></div><div>
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.</div><div></div><div><i>
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.</i></div><div></div><div><i>
Please note: If the &ldquo;Apply Now&rdquo; button on a job board posting does not take you directly to the FINRA Careers site, enter </i><i>www.finra.org/careers</i><i> into your browser to reach our site directly.</i></div><div></div><div>
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 Employee Relations team at 240.386.4865 or by email at <div>EmployeeRelations@finra.org.</div> Please note that this process is exclusively for inquiries regarding application accommodations.</div><div></div><div>
Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.</div><div></div><div>
Time Off and Paid Leave*</div><div></div><div>
FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.</div><div></div><ul><li>Based on full-time schedule</li></ul><div></div><div>
Important Information</div><div></div><div>
FINRA&rsquo;s Code of Conduct imposes restrictions on employees&rsquo; 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&rsquo;s investment and securities account restrictions, and new employees must comply with those investment restrictions&mdash;including disposing of any security issued by a company on FINRA&rsquo;s Prohibited Company List or obtaining a written waiver from their Executive Vice President&mdash;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.</div><div></div><div><br>
As standard practice, employees must also execute FINRA&rsquo;s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company&rsquo;s policy on nepotism.</div><div></div><div>
Search Firm Representatives</div><div></div><div>
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.</div><div></div><div>
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 Employee Relations team at 240.386.4865 or by email at <div>EmployeeRelations@finra.org.</div> Please note that this process is exclusively for inquiries regarding application accommodations.</div><div></div><div>
All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws.</div><div></div><div>
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.</div><div></div><div>
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.</div></div><div></div>

Assistant General Counsel, Regulatory

Kaiser Permanente

<div><div><b>Job Summary:</b></div><br>
<br>
<div>In addition to the responsibilities listed below, this position is also responsible for leading KP legal advice to senior leaders on compliance with complex federal and state laws and regulations in a constantly evolving industry landscape; driving the development of legal strategies to create future-oriented initiatives; overseeing legal support of the completion and filing of complex regulatory responses and other government submissions as needed; partnering with others to advise on high priority internal investigations or government inquiries; furthering developing collaborative relationships among senior leaders and stakeholders to advance Kaiser Permanentes mission; and synthesizing complex legal concepts and providing thoughtful and future-oriented insights regarding federal and state statutes and regulations affecting health plan and care delivery operations.</div><div><br>
<b>
Essential Responsibilities:</b></div><br>
<br>
<ul><li>Promotes learning in others by communicating information and providing advice to drive projects forward; builds relationships with cross-functional stakeholders. Listens, responds to, seeks, and addresses performance feedback; provides actionable feedback to others, including upward feedback to leadership and mentors junior team members. Practices self-leadership; creates and executes plans to capitalize on strengths and improve opportunity areas; influences team members within assigned team or unit. Adapts to competing demands and new responsibilities; adapts to and learns from change, challenges, and feedback. Models team collaboration within and across teams.</li><li>
Conducts or oversees business-specific projects by applying deep expertise in subject area; promotes adherence to all procedures and policies. Partners internally and externally to make effective business decisions; determines and carries out processes and methodologies; solves complex problems; escalates high-priority issues or risks, as appropriate; monitors progress and results. Develops work plans to meet business priorities and deadlines; coordinates and delegates resources to accomplish organizational goals. Recognizes and capitalizes on improvement opportunities; evaluates recommendations made; influences the completion of project tasks by others.</li><li>
Participates in the creation, review, and negotiation of legal documents by: preparing, drafting, creating, and leading conversations on complex and nuanced written legal advice, contracts, and/or other documents related to subject matter expertise; reviewing work product of others; and serving as an expert and prime contact to clients and other legal professionals (e.g., counsel, paralegals, and legal assistants).</li><li>
Performs and analyzes legal research by: leveraging in-depth and advanced knowledge to interpret and review legal documents (e.g., contracts, memoranda, and policies); ensuring completion of complex research and analyses of case law and statutory/regulatory authority including but not limited to federal and state laws, rules, regulations, accreditation standards, and/or other applicable guidance; identifying complex industry patterns and trends impacting legal questions or issues; and identifying key insights from the research findings and legal analysis to communicate with cross-functional senior business stakeholders to design program-wide strategy and critical business decisions.</li><li>
Assesses legal risk and/or provides legal guidance by: utilizing advanced knowledge of legal principles, business risks, regulatory landscape, and compliance considerations to legal advice and review recommendations on matters critical to the organization; furthering the development of legal strategies for senior business stakeholders and driving the creation of solutions to mitigate legal risks, advance program-wide business strategy, and drive Kaiser Permanente-s mission; collaborating with internal and outside counsel on complex legal matters; driving communication with attorneys to leverage and share expertise and resources in a highly matrixed environment; and engaging other junior-level attorneys and other legal professionals or guiding more junior attorneys in their area of expertise.</li><li>
Contributes to legal planning and strategy by: proactively contributing to the creation of legal strategies for the implementation of cutting-edge solutions to unique issues; partnering with others to resolve complex legal issues through collaborative effort among legal colleagues and stakeholders; providing recommendations to stakeholders on health plan and/or care delivery business and/or clinical strategies; partnering with regulatory services and government relations on Kaiser Permanente-s advocacy strategies to address legislative, regulatory, and litigation risks; and guiding others on the development of responses to regulatory actions as appropriate for practice areas (e.g., audits and enforcement actions).</li></ul><div><br>
<b>Minimum Qualifications:</b></div><br>
<br>
<ul><li>Minimum of two (2) years ofexperience in health care law.</li><li>
Juris Doctorate (JD) or equivalent (e.g., Legum Baccalaureus [LLBs], Legum Magister [LLMs], and Postgraduate Certificate in Laws [PCLLs]) AND minimum five (5) years of experience as a practicing lawyer.</li></ul><br>
<ul><li>
State Bar License (from any State where KP does business)<br>
</li></ul>
<div><b>Additional Requirements:</b></div><br>
<ul><li>
Knowledge, Skills, and Abilities (KSAs): Insurance; External Health Care Compliance; Government Health Care Programs; Health Plan Regulatory Agencies</li></ul><br>
<br>
<br>
PrimaryLocation : District of Columbia,Washington,Capitol Hill Medical Center<br>
HoursPerWeek : 40<br>
Shift : Day<br>
Workdays : Mon, Tue, Wed, Thu, Fri<br>
WorkingHoursStart : 08:30 AM<br>
WorkingHoursEnd : 06:00 PM<br>
Job Schedule : Full-time<br>
Job Type : Standard<br>
Employee Status : Regular<br>
Employee Group/Union Affiliation : NUE-PO-01|NUE|Non Union Employee<br>
Job Level : Individual Contributor<br>
Job Category : Legal and Policy<br>
Department : Po/Ho Corp - Natl Legal - Gov't Programs - 0308<br>
Travel : Yes, 5 % of the Time<br>
Kaiser Permanente is an equal opportunity employer committed to fair, respectful, and inclusive workplaces. Applicants will be considered for employment without regard to race, religion, sex, age, national origin, disability, veteran status, or any other protected characteristic or status.</div>

Counsel II, Health Care/Regulatory

Charles Schwab

<p></p><div><p>Washington D.C., DC ; New York, NY
</p><p>Requisition ID 2025-116318</p>
<p>Category Legal &amp; Compliance</p>
<p>Position type Regular</p>
<p>Pay range USD $167,400.00 - $270,000.00 / Year</p>
<p>Application deadline 2025-11-07</p></div>
<br><div><div><div><p>Your opportunity</p><br>
<p>
At Schwab, you&rsquo;re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us &ldquo;challenge the status quo&rdquo; and transform the finance industry together.</p><p>
The Third-Party Product Platforms (TPP) legal team is responsible for providing legal support to several of Charles Schwab &amp; Co., Inc.&rsquo;s product platforms through which products are available for purchase by our clients, including mutual funds, exchange-traded products, insurance and annuities, 529 Education Savings Plans and alternative investments.</p><p>
As a Director, Legal Counsel- Alternative Investment Platforms, you will primarily will be responsible for legal support of the platforms on which alternative investment products are made available to the customers of Charles Schwab &amp; Co., although the position will take on additional responsibilities related to other product platforms from time to time.</p><p>
Support will include strategic initiatives, regulatory compliance, and negotiating agreements with product issuers or advisers. The ideal candidate will have experience in both support of broker-dealer product platforms and the organization and distribution of registered funds (liquid alternatives) and private funds. Candidate should have familiarity with the Securities Act of 1933, the Securities Exchange Act of 1934 and the Investment Company Act of 1940, as well as relevant FINRA rules.</p><p>
We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified location(s). This role is expected to work in the office 4 days a week.</p><p>
What you will do:</p><ul><li>
Provide legal advice related to strategic and growth initiatives related to the alternative investment platforms.</li><li>
Draft and negotiate intermediary agreements with third party alternative investment providers and issuers.</li><li>
Provide legal guidance on related marketing or disclosures, and policies and procedures.</li><li>
Monitor regulatory developments applicable to alternative investments and advise senior leadership and the business on the impact.</li><li>
Build and maintain strong partnerships with the relevant Platform/Offer teams and compliance and legal colleagues to ensure clear alignment and priorities within the appropriate legal and regulatory framework.</li></ul><p>
What you have</p><br>
<p>
To ensure that we fulfill our promise of &ldquo;challenging the status quo,&rdquo; this role has specific qualifications that successful candidates should have:</p><p>
Required Qualifications:</p><ul><li>
Juris Doctor (JD) from an accredited law school and active membership in a state bar.</li><li>
7-10 years legal experience in a large broker-dealer or asset management firm. Law firm experience in a practice related to financial services or practical business experience may be substituted for in-house experience.</li><li>
Strong drafting skills and a keen attention to detail.</li><li>
Ability to identify and analyze contractual issues and provide solutions.</li><li>
Developed negotiation skills and a willingness to engage with counterparties.</li><li>
Excellent oral and written communication skills. Ability to present to senior leaders in Legal and key partners.</li><li>
Ability to work on multiple projects, prioritize activities, and meet deadlines with strong organizational skills.</li><li>
Must be a self-motivated professional with excellent people skills and able to work independently.</li><li>
Applicants must be currently authorized to work in the United States on afull-time basis without employer sponsorship.</li></ul><p>
In addition to the salary range, this role is also eligible for bonus or other incentive opportunities.</p><div><p><br>
What&rsquo;s in it for you</p><p>
At Schwab, you&rsquo;re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration&mdash;so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.</p><p>
We offer a competitive benefits package that takes care of the whole you &ndash; both today and in the future:</p><ul><li>
401(k) with company match and Employee stock purchase plan</li><li>
Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions</li><li>
Paid parental leave and family building benefits</li><li>
Tuition reimbursement</li><li>
Health, dental, and vision insurance</li></ul></div><p></p><div><br>
<p></p>
</div></div><div><div><div>Share:</div>
<ul><div><div>Facebook</div></div>
<div><div>LinkedIn</div></div>
<div><div>X</div></div>
<div><div>Email</div></div>
</ul></div></div></div><div><p>Eligible Schwabbies receive</p>
<ul><div><p>Medical, dental and vision benefits</p>
</div><div><p>401(k) and employee stock purchase plans</p>
</div><div><p>Tuition reimbursement to keep developing your career</p>
</div><div><p>Paid parental leave and adoption/family building benefits</p>
</div><div><p>Sabbatical leave available after five years of employment</p></div></ul></div></div>

Director, Legal Counsel- Alternative Investment Platforms

Solar Energy Industries Association

<div><p><b>Organization Description</b></p><p>
The Solar Energy Industries Association (SEIA) is the national trade association for the solar and storage industry and represents more than 1,200 member companies and 263,000 Americans working across the United States. SEIA is leading the transformation to a clean energy economy and is creating the framework for solar to reach 30% of U.S. electricity generation by 2030. We work with our member companies and strategic partners to fight for policies that create jobs in every community and shape fair market rules that promote competition and the growth of reliable, low-cost solar power.</p><p>
 SEIA does this by supporting pro-solar policies at the state and federal level, developing cutting-edge market research, hosting educational events and webinars, and serving as the voice of the solar and storage industry.</p><p>
 SEIA employees are passionate, forward-thinking leaders who start every day knowing that their work makes a difference. SEIA values diversity and fosters an inclusive, lively company culture that celebrates team success. The association has earned numerous awards for its work and company culture and was named by the Washington Post as a 2023 and 2024 Top Workplace and a Best Nonprofit to Work For by the Nonprofit Times.</p><p></p><p><b><br>
Position Summary</b></p><p>
The Northeast Regional Director is responsible for the development and implementation of SEIA&rsquo;s policies and positions in the dynamic and growing solar markets in the Northeast. The position reports to the Vice President of State Affairs, and will work in close collaboration with other SEIA departments including Research, Communications and Membership.</p><p>
The ideal candidate should have the desire and demeanor to build a strong network within the solar and clean energy industries and will have had professional exposure to energy policy and/or markets, and be familiar with enabling technologies such as storage, demand response, distribution management systems and electric vehicles. The successful candidate must be able to build relationships and be a natural collaborator. This candidate should be able to manage project teams effectively and facilitate dialogue with both internal and external colleagues.</p><p><b>
Core Duties and Responsibilities</b></p><ul><li>
Oversees regulatory &amp; legislative activity in SEIA priority states in the Northeast, with a particular focus on New York, Massachusetts, and Connecticut.</li><li>
Drafts regulatory filings</li><li>
Manage SEIA Northeast Committee, and day-to-day activities in collaboration with company leads. This includes facilitating regular calls/meetings with SEIA members.</li><li>
Participates in legislative/lobbying initiatives.</li><li>
Works with outside counsel, contract lobbyists and technical consultants as needed.</li><li>
Collaborates with local and regional trade associations, SEIA state affiliates, other stakeholders and parties, consultants, etc.</li><li>
Participates as available/necessary in other states and overall SEIA activities as time permits.</li><li>
The candidate will need to be comfortable working out of their home office or other suitable space.</li></ul><br>
Requirements:<br>
<br>
<p><b>Qualifications</b></p><ul><li>
A bachelor&rsquo;s degree is required.</li><li>
5 - 7 years of experience in solar energy, advocacy, or related fields.</li><li>
Regulatory experience in the region is preferred and legislative experience is a plus.</li><li>
Preference given to candidates with demonstrated experience in electricity/utility/renewables/generation sectors.</li><li>
Ability to travel, primarily in-region</li><li>
Excellent written and verbal communication skills.</li><li>
Ability to manage multiple tasks simultaneously.</li><li>
Ability to manage challenging and diverse views of member companies.</li><li>
Self-starter &ndash; can work independently and remotely.</li><li>
Ability to work effectively as part of a team and is able to perceive when to lead and when to build consensus.</li></ul><p></p><p><br>
 <b>Working Conditions</b></p><ul><li>
Work is in an office environment or in a remote-office environment that is suitably equipped with internet and telephone access.</li><li>
Prefer location in the greater Albany, NY, or Boston, MA areas. Consideration will be given to candidates based elsewhere in the region.</li><li>
Travel is required for this role.</li><li>
Frequent speaking engagements</li></ul><p><b>
 Compensation Range</b></p><ul><li><b>
 </b>$115,000 -$125,000 annually, based on experience and an excellent benefits package.</li></ul><p>
 <b>Working at SEIA</b></p><p>
SEIA provides equal employment opportunities (EEO) to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, homelessness, or any other characteristic protected by federal, state, or local laws. SEIA complies with applicable federal, state, and local laws governing nondiscrimination in employment in every location in which we employ staff. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation, and training.</p><p></p><p><br>
SEIA is an EVERIFY employer.</p></div>

Director State Affairs-Northeast

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