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 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 ensuring investor protection. The Sr Vice President of Corporate Financing and Advertising Regulation will play a critical role in this mission, leading and directing the departments responsible for setting and enforcing policies and regulations in these important areas. This is an exciting opportunity for an experienced and highly skilled legal professional to join a dynamic and respected organization and make a significant impact in the financial industry.

SEO Friendly Job Title: Sr Vice President of Corporate Financing and Advertising Regulation - FINRA

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

H2: Lead and Direct Regulatory Initiatives in Corporate Financing and Advertising at FINRA

Key Responsibilities:

- Set strategic direction for the Office of the Chief Legal Officer's departments in Corporate Financing and Advertising Regulation
- Develop policy positions and collaborate with other departments to ensure effective oversight of these program areas
- Supervise complex review units and take a leadership role in solving complex and sensitive regulatory initiatives
- Provide expert legal and policy advice to the Chief Legal Officer and other senior FINRA staff
- Serve as a subject matter expert in advertising and corporate financing regulation
- Attend and speak at regulatory policy public conferences and meetings
- Manage public communication of regulatory proposals and legal interpretations
- Oversee the preparation of committee and Board materials
- Devise and present original, creative, and innovative solutions for changes to existing rules
- Travel as necessary

Requirements:

- Law degree and a minimum of 12 years of relevant legal experience
- Licensed to practice law in the state where the position is located
- Advanced degree or certification in a specialized subject area preferred
- Highly developed expertise in a specialized area of knowledge related to the organization's mission preferred
- Strong skills in developing policy, crafting rules, maintaining good member relations, and managing staff
- Excellent written and verbal communication skills
- Superior judgment and interpersonal skills
- Organizational skills and attention to detail

Work Conditions:

- Hybrid work environment with potential for extended hours
- Travel required

Salary Information:

- Based on location, actual compensation will vary depending on factors such as skill set, experience, education, and internal peer comparisons
- 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

Application Process:

- Submit an application through the FINRA Careers site
- Applications are accepted on an ongoing basis

Work-Life Balance and Benefits:

- Generous time-off program including 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in first year)
- 2 volunteer service days
- Military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave (available after 90 days of employment)
- Full-time employees receive 9 paid holidays
- Comprehensive health, dental, and vision insurance
- Additional insurance options include basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and more
- 401(k) plan with company match and eligibility for additional FINRA-funded retirement contribution
- Tuition reimbursement and other benefits

Important Information:

- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures related to our role as a securities regulator
- Employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's nepotism policy
- FINRA is an Equal Opportunity and Affirmative Action Employer, valuing diversity and providing equal employment opportunities to all individuals
- FINRA abides by the requirements of 41 CFR ) and ), prohibiting discrimination against qualified individuals based on disability or protected veteran status
- FINRA is an independent, non-governmental regulator for all securities

Not applicable

Comprehensive health, dental, and vision insurance, life and disability insurance, retirement plans, time off and paid leave, tuition reimbursement, and other benefits.

Leadership, Strategic Planning, Policy Making, Legal Expertise, Communication, Interpersonal Skills, Organizational Skills

Law degree required, advanced degree or certification preferred.

Submit application through FINRA Careers site.

Qualification and Experience Law degree, minimum 12 years of relevant legal experience, state law license, advanced degree or certification preferred

Legal