Sr Vice President, Corp Financing & Advertising Reg

Min 12 yrs required

Full-time

No

© 2021 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.


Sr Vice President, Corp Financing & Advertising Regulation

- The Sr Vice President of Corporate Financing and Advertising Regulation is a key member of the Office of the Chief Legal Officer's (OCLO) leadership team.
- Responsible for setting the strategic direction of the Corporate Financing and Advertising Regulation departments.
- Interpretive and policymaking responsibilities including reviewing filings, collaborating with other departments, and working with subject matter committees.
- Supervision of these departments involves policy decisions, developing departmental strategy, representing FINRA, and working with other departments for effective oversight.
- Provides expert advice and counsel to the Chief Legal Officer on high-impact, legally and politically complex, and sensitive regulatory initiatives and rule changes.
- Direct contact with senior management, including the Chief Executive Officer, and members of the Board of Governors.

Essential Job Functions:

- Supervises the program operations of both offices.
- Develops policy making positions, rule making and interpretive positions in partnership with the Office of General Counsel (OGC).
- Advises the Chief Legal Officer and other senior FINRA staff, members of the Board of Governors, and advisory committees.
- Serves as liaison or supervise the staff liaison to member committees, various subcommittees and ad hoc task forces.
- Oversees the complex review units of both departments.
- Takes a leadership role in solving complex and sensitive regulatory initiatives.
- Serves as the key source of legal expertise within FINRA concerning advertising and corporate financing regulation.
- Oversees the preparation of committee and Board materials.
- Oversees the drafting of new rule proposals and proposed filings to the SEC in partnership with OGC.
- Manages public communication of regulatory proposals and legal interpretations.
- Attends and speaks at regulatory policy public conferences and meetings of the standing committees of the Board.

Education/Experience Requirements:

- Law degree and a minimum of twelve (12) 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 desired subject area preferred.
- Highly developed expertise in a specialized area of knowledge.
- Advanced skills in developing policy, crafting rules and staff interpretations, maintaining good member relations, and managing a large staff.
- Advanced and excellent written and verbal communication skills.
- Advanced and excellent judgment and interpersonal skills.
- Strong organizational skills and excellent attention to detail.

Work Conditions:

- Hybrid work environment (remote/office) with extended hours.
- Travel may be required.

Salary Information:

- Minimum Salary: $235,700.
- Maximum Salary: $397,900.
- Actual compensation based on various factors, including skill set, experience, education, and internal peer comparisons.
- Salary range varies based on location.

Time Type:

- Full time.

Job Requisition ID:

- R-007616

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

FINRA Offers:

- Comprehensive health, dental, and vision insurance.
- Additional insurance options, including life, accidental death and dismemberment, short- and long-term disability, and legal.
- Immediate participation and vesting in a 401(k) plan with company match.
- Eligibility for an additional FINRA-funded retirement contribution.
- Tuition reimbursement and other benefits.

Time Off and Paid Leave:

- 15 days of paid time off.
- 5 personal days.
- 9 sick days.
- 2 volunteer service days.
- Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave.
- Full-time employees receive nine paid holidays.

Important Information:

- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures.
- Employees must disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements.
- New employees must comply with investment restrictions by the date they begin employment.
- Employees may only maintain securities accounts with firms that provide an electronic feed to FINRA.
- Employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's nepotism policy.

Search Firm Representatives:

- FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity.
- A valid written agreement and task order must be in place before submitting resumes.
- Resumes submitted without a valid agreement and task order will be deemed the sole property of FINRA.

Equal Opportunity and Affirmative Action Employer:

- 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 protected classification.
- FINRA abides by the requirements of 41 CFR ) and 41 CFR ).
- FINRA provides accommodations for applicants with disabilities during the application process.

© 2021 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

supervision of these departments also involves creative development of new regulatory initiatives based on knowledge of the program areas and active interaction with member participants in these areas; providing expert advice and counsel to the chief legal officer on high-impact, legally and politically complex, and sensitive regulatory initiatives and rule changes; and serving as a subject matter expert including legal and policy expertise in the departments’ program areas. will have direct or by email at employeerelations@finra. 4865 or by email 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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