Sr Vice President, Corp Financing & Advertising Reg

Min 12 yrs required

Full-time

No

FINRA abides by the requirements of 41 CFR ), ) and ). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and prohibit discrimination against all individuals based on their race, color, religion, sex, sexual orientation, gender identity or national origin. Moreover, these regulations require that covered prime contractors and subcontractors take affirmative action to employ and advance in employment individuals without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status.

FINRA is an independent, non-governmental organization that oversees the securities industry and is dedicated to investor protection and market integrity. The Sr Vice President of Corporate Financing and Advertising Regulation will play a crucial role in ensuring that FINRA fulfills its mission by overseeing the program operations of both the Corporate Financing and Advertising Regulation departments. They will also serve as a liaison to member committees and advisory committees, and provide expert legal and policy advice to the Chief Legal Officer and other senior FINRA staff. This position requires a law degree and a minimum of twelve years of relevant legal experience, as well as strong skills in policy development, rulemaking, and managing a large staff. The role offers a competitive salary and comprehensive benefits package, including health insurance, retirement contributions, and generous time off.

SEO friendly job title: Sr Vice President of Corporate Financing and Advertising Regulation at FINRA

H1: Join FINRA as Sr Vice President of Corporate Financing and Advertising Regulation

H2: Lead the Corporate Financing and Advertising Regulation departments at FINRA

Key Responsibilities:

- Supervise the program operations of both the Corporate Financing and Advertising Regulation departments
- Develop policy making positions and collaborate with the Office of General Counsel (OGC) on rulemaking and interpretive positions
- Provide expert legal and policy advice to the Chief Legal Officer and other senior FINRA staff
- Serve as a liaison to member committees and advisory committees
- Oversee the complex review units of both departments and take a leadership role in solving complex and sensitive regulatory initiatives
- Manage public communication of regulatory proposals and legal interpretations to member firms, the media, and other interested parties
- Devise and present original and innovative solutions for changes to existing rules
- Attend and speak at regulatory policy conferences and meetings

Requirements:

- Law degree and a minimum of twelve years of relevant legal experience
- Must be licensed to practice law in the state in which they will be working
- Advanced degree or formal certification in a desired subject area preferred
- Strong expertise in policy development, rulemaking, and managing a large staff
- Excellent written and verbal communication skills
- Superior judgment and interpersonal skills
- Strong organizational skills and attention to detail

Work Environment:

- Hybrid work environment with travel required as necessary
- Competitive salary and comprehensive benefits package

Salary Information:

- California: Minimum Salary $235,700, Maximum Salary $397,900
- Washington, DC: Minimum Salary $235,700, Maximum Salary $397,900
- Colorado/Hawaii: Minimum Salary $235,700, Maximum Salary $397,900
- New York, NY: Minimum Salary $235,700, Maximum Salary $397,900
- Washington State: Minimum Salary $235,700, Maximum Salary $397,900

To apply for this position, submit an application on the FINRA Careers site. Applications are accepted on an ongoing basis.

FINRA is an Equal Opportunity and Affirmative Action Employer and abides by the requirements of 41 CFR ), ), and ). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and prohibit discrimination against all individuals based on their race, color, religion, sex, sexual orientation, gender identity, or national origin. FINRA offers a competitive salary and comprehensive benefits package, including health insurance, retirement contributions, and generous time off. Join FINRA as the Sr Vice President of Corporate Financing and Advertising Regulation to play a crucial role in ensuring investor protection and market integrity in the securities industry.

Not specified

Comprehensive health, dental, and vision insurance; life, accidental death and dismemberment, and disability insurance; retirement plans; time off and paid leave; tuition reimbursement; volunteer service days; bereavement leave.

Not specified

Policy making, Legal expertise, Communication, Leadership, Supervision

Law degree, advanced degree or certification preferred

Submit an application on the FINRA Careers site.

Qualification and Experience Law degree, Licensed to practice law, Advanced degree or certification preferred

Legal