Sr Vice President, Corp Financing & Advertising Reg

Min 12 yrs required

Full-time

No

©2019 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Sr Vice President, Corporate Financing & Advertising Regulation - Full Time

JOB REQUISITION ID: R-007616

Organization: FINRA

Department: Office of the Chief Legal Officer

Location: Rockville, MD (Job Posting), Jersey City - Harborside Plaza, Dallas, Chicago (W Monroe), Boca Raton, Boston, Washington, DC (Job Posting), Philadelphia, New York, NY (Job Posting)

Time Type: Full Time

Posted On: Posted Today

Salary Range: Based on location and factors such as experience, education, and skills

Job Title: Sr Vice President, Corporate Financing & Advertising Regulation

Experience: Minimum of 12 years of relevant legal experience

Education: Law degree, must be licensed to practice law in the state of employment

Job Requisition ID: R-007616

Organization: FINRA

Department: Office of the Chief Legal Officer

Location: Various locations across the US

Time Type: Full Time

Posted On: Posted Today

Salary Range: Based on location and factors such as experience, education, and skills

Essential Job Functions:

- Set strategic direction for the Office of the Chief Legal Officer's (OCLO) leadership team
- Interpret and review filings in program areas, collaborate with other departments, and work closely with subject matter committees
- Supervise and develop new regulatory initiatives in program areas
- Provide expert advice and counsel to the Chief Legal Officer on complex and sensitive regulatory initiatives and rule changes
- Represent FINRA in advertising and corporate financing regulation and provide independent expert advice in these areas
- Oversee preparation of committee and Board materials and drafting of new rule proposals
- Devise and present original and creative solutions for changes to existing rules
- Manage public communication of regulatory proposals and legal interpretations
- Attend and speak at regulatory policy conferences and meetings
- Develop policy positions and advise senior FINRA staff, members of the Board of Governors, and advisory committees on regulatory actions and rule changes
- Serve as liaison or supervise staff liaison to member committees and task forces
- Oversee complex review units of both departments

Education/Experience Requirements:

- Law degree and minimum of 12 years of relevant legal experience
- Must be licensed to practice law in the state of employment
- Advanced degree or formal certification preferred
- Highly developed expertise in a specialized area of knowledge preferred
- Advanced skills in policy development, rule crafting, member relations, and staff management
- Excellent written and verbal communication skills
- Superior judgment and interpersonal skills
- Strong organizational skills and attention to detail

Work Conditions:

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

Salary Information:

Based on location and factors such as experience, education, and skills, the proposed salary range for this position is:

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

Important Information:

- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures related to their role as a securities regulator
- Employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's nepotism policy
- Employees must also disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements to FINRA
- Employees may only maintain securities accounts at firms that provide an electronic feed of data to FINRA

Benefits:

- Comprehensive health, dental, and vision insurance
- Basic life, accidental death and dismemberment, supplemental life, and disability insurance
- Immediate participation in a 401(k) plan with company match
- Eligibility for participation in 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, and 9 sick days (pro-rated in first year)
- 2 volunteer service days (based on full-time schedule)
- Military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave (all available after 90 days of employment)
- 9 paid holidays (based on full-time schedule)

Search Firm Representatives:

Please note that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Valid written agreements and task orders must be in place before any resumes are submitted to FINRA.

Equal Opportunity and Affirmative Action Employer:

FINRA provides equal employment opportunities to all employees and applicants 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 classification protected by federal, state, or local laws as appropriate. FINRA also abides by the requirements of 41 CFR ) and 41 CFR ), which prohibit discrimination against qualified individuals with disabilities and protected veterans, respectively.

© 2019 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Not specified

Comprehensive health, dental, and vision insurance; Basic and supplemental life insurance; Short- and long-term disability; Long-term care; Business travel accident insurance; Tuition reimbursement; 401(k) plan with company match; Additional FINRA-funded retirement contribution; Paid time off; Paid volunteer service days; Military leave; Jury duty leave; Bereavement leave; Voting and election official leave; Care of family member leave; Childbirth and parental leave; Paid holidays

Not specified

Legal expertise, Policy development, Rule making, Interpretation, Program management, Supervision, Leadership, Communication, Interpersonal skills, Organizational skills, Attention to detail, Risk management, Compliance, Governance, Strategic planning, Public speaking, Event planning, Liaison, Legal counseling, Regulatory compliance, Corporate law, Advertising law, Securities law, Financial services, Corporate governance

Law degree; Advanced degree or certification in specialized subject area preferred

Submit an application through the FINRA Careers website

Qualification and Experience Law degree, Licensed to practice law, Advanced degree or certification in specialized subject area, 12+ years of legal experience

Legal