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Organization TypePublic Interest
Years of Experience
Date Last Verified
Senior Governance Analyst - Office of the Corporate Secretary Admin Duties: Performs a variety of specific duties in support of the Office of Corporate Secretary’s (OCS) operations and functions including a broad range of research and technical duties, facilitating Board of Governors (Board) meetings and, ensuring confidence in the election processes. Works independently on many projects and assists with training and supervision of junior level staff. Additionally, the incumbent demonstrates an advanced mastery of the election processes and expertise in corporate governance procedures of the Executive Offices. Drafts, proofreads and cite checks documents prepared by OCS for the Board and for internal distribution, verifying facts and ensuring that documents are in proper form and distributed properly to recipients. Facilitates the timely production and distribution of Board and committee kits, orientation and reference material. Receives, compiles, and organizes information for the preparation of key elements of board meeting documents for distribution to the FINRA Board. The incumbent reviews and edits documents received from senior staff ensuring that all documents are in accordance with required format, grammar, and accuracy. Incumbent also drafts documents based on direction/guidance provided by senior staff. Drafts and tracks proposed actions approved by the Board at meetings and via unanimous written. Creates procedures and automated document templates to efficiently generate annual agenda items in corporate tracking system and MS Word. With minimal supervision, coordinates the assembly, copying and mailing of board materials by collaborating with staff from other departments and copy vendors. Ensures meeting materials are distributed in proper form to all Board members and internal staff in accordance with the requirements of departmental and corporate document security procedures. Attends Board and committee meetings as needed to provide support to OCS by tracking attendance, ensuring that meeting quorum requirements are met, managing meeting handouts and other tasks as needed. Drafts meeting summaries and minutes. Manages Elections Processes Supports the Associate Director of Corporate Governance in administering the Board, Small Firm Advisory Committee, National Adjudicatory Council and Committee elections. Acts as a project manager for these elections by developing and monitoring election timelines and deadlines to ensure that the elections are effectively managed in accordance with departmental procedures and by-laws. Collaborates with staff from other departments and the inspector of elections in meeting all election deadlines. Serves as a department’s point of contact for potential candidates and firms during elections, responding to inquiries on candidate and member firm questions and serving as a knowledgeable resource for information regarding election procedures, rules and by-laws. The incumbent performs these functions with minimal supervision, researches novel issues independently and drafts written responses for the department. Takes the lead to trains more junior staff on responding to inquiries. Assist with the execution of annual and special meetings, whereby at which board members are elected. Corporate Governance and Compliance Ensures Board and standing committee composition comply at all times with balancing requirements set forth in by-laws, committee charters and delegation plan. The incumbent oversees the distribution and collection of annual Board and committee member questionnaires. The incumbent reviews and analyzes completed questionnaires to ensure that Board and committee composition complies with relevant governance standards for the Board, its standing committees and relevant advisory committees. Maintains official corporate tracking database in accordance with OCS requirements and corporate governance best practices, assuring the ongoing ability to access, edit, research, and accurately report data for ad hoc reports as required. Updates departmental status reports regarding timing and progress of actions approved by and scheduled to be presented to the Board. Trains and oversees OCS staff, as well as staff from other departments in using and properly updating the corporate tracking system using corporate governance best practices to maintain information in the database. Performs legal and other research on regulatory and governance issues raised under federal securities regulations, Delaware corporate law, rules and by-laws, corporate governance best practices, and Board policies and procedures. Presents research results orally and in-writing. Regularly responds to inquiries from other departments, member firms and the general public requiring substantial understanding of by-laws, election procedures, relevant corporate Delaware law and corporate governance guidelines. Assists Associate Director of Corporate Governance in complying with internal and external requests, including requests from the SEC and Internal Audit by organizing and compiling the relevant documents. Assists Associate Director of Corporate Governance with updating departmental procedures and training other department staff. Serves as a mentor for less experienced staff and trains and supervises more junior and temporary staff. Keeps management updated on notable trends in industry and corporate governance practices and procedures. Assist in maintaining OCS SharePoint sites used for corporate-wide distribution of OCS information (such as board meeting schedules, templates and materials) and for submission of board material.
Qualification and Experience
Qualifications: Bachelor’s degree and either a paralegal certificate or relevant experience or equivalent paralegal experience required. Proven ability to handle sensitive business information with discretion and confidentiality. Strong planning, organizational and problem solving skills, as well as excellent interpersonal and written communication skills required. Excellent proofreading, editing and analytical skills. Experience in legal research, including use of Lexis-Nexis or Westlaw required. Expertise in using CRD and the FINRA Contact System, preferred. Able to work both independently and in conjunction with others. Competence in the use of desktop computers with the full suite of office software applications including Excel, Access, PowerPoint, and SharePoint. 5+ years of directly related experience. Substantial knowledge of FINRA rules, by-laws, federal securities laws and relevant corporate laws and/or member firm operations. Supervisory experience preferred. Advanced Degree in business, law or other relevant area preferred. The incumbent has demonstrated strong project management skills and expert knowledge of corporate governance procedures enabling him or her to work independently on complex and sensitive research projects and ad hoc reports on a regular basis.
Job Number: 006415
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