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.



Sr Vice President, Corporate Financing & Advertising Regulation – Competitive Salary and Benefits Offered

H1: Join the Leadership Team at FINRA as a Sr Vice President, Corporate Financing & Advertising Regulation

H2: Lead the Strategic Direction of Corporate Financing and Advertising Regulation at FINRA

FINRA, the Financial Industry Regulatory Authority, is seeking a highly experienced and knowledgeable individual to join their Office of the Chief Legal Officer as the Sr Vice President of Corporate Financing and Advertising Regulation. This role is responsible for setting the strategic direction of their group and overseeing the program operations of two departments. The ideal candidate will have a law degree and a minimum of twelve years of relevant legal experience, as well as advanced expertise in a specialized area of knowledge. This is a full-time position with a hybrid work environment and some travel required.

Key Responsibilities:

- Supervise the program operations of two offices within the Office of the Chief Legal Officer
- Develop policy making positions and rule making in partnership with the Office of General Counsel
- Advise senior FINRA staff, members of the Board of Governors, and advisory committees on high-impact, legally and politically complex regulatory actions and initiatives
- Serve as a liaison to member committees and oversee complex review units
- Take a leadership role in solving complex and sensitive regulatory initiatives
- Oversee the preparation of committee and Board materials and the drafting of new rule proposals
- Devise and present original, creative, and innovative solutions for changes to existing rules
- Manage public communication of regulatory proposals and legal interpretations
- Attend and speak at regulatory policy conferences and meetings

Education and 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 preferred
- Highly developed expertise in a specialized area of knowledge preferred
- Advanced skills in developing policy, crafting rules and staff interpretations, and managing a large staff
- Excellent written and verbal communication skills
- Superior judgment and interpersonal skills
- Strong organizational skills and attention to detail

Competitive Salary and Benefits:

- Competitive salary based on location and factors such as skill set, experience, and education
- Comprehensive health, dental, and vision insurance
- Additional insurance options for life, disability, and legal coverage
- Immediate participation and vesting 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 (all pro-rated in the first year)
- 2 volunteer service days
- Military leave, jury duty leave, bereavement leave, and more
- Full-time employees receive 9 paid holidays

Important Information:

- FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures
- Employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism
- Employees may only maintain securities accounts at firms that provide an electronic feed of data to FINRA

Join the FINRA Team:

- To be considered for this position, please submit an application
- Applications are accepted on an ongoing basis
- FINRA is an 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 classification protected by federal, state, or local laws
- FINRA abides by the requirements of 41 CFR ) and 41 CFR ) prohibiting discrimination against qualified individuals based on disability and protected veteran status, and 41 CFR ), ), and ) prohibiting discrimination against all individuals based on race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status
- FINRA does not accept unsolicited resumes from search firms, and any resumes submitted without a valid written agreement and task order will be deemed the sole property of FINRA and not eligible for a fee.

Legal expertise, policy development, rulemaking, strategic planning, leadership, communication, organizational skills, attention to detail, public speaking, staff management, regulatory knowledge, legal interpretation, program management, decision making, problem solving, conflict resolution, negotiation, written communication, interpersonal skills, judgment, time management, multitasking, adaptability, critical thinking, research, analysis, presentation, public relations, networking, relationship building, mentoring, data analysis, project management, team management, budget management, risk management, compliance, securities regulation, corporate law, advertising law, financial regulation, regulatory compliance, legal compliance, policy analysis, legal research, legal writing, legal advice, legal counseling, legal opinions, legal counsel, legal advocacy, legal representation, legal negotiations, legal transactions, legal contracts, legal documentation, legal strategy, legal ethics, 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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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