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.




Title: Sr Vice President, Corporate Financing & Advertising Regulation

Job Requisition ID: R-007616

Organization: FINRA

Location: Rockville, MD (Remote work option available)

Time Type: Full time

Salary Range: $235,700 - $397,900 (based on location and qualifications)

Posted on: Posted Today

Organization Overview:

FINRA is a not-for-profit organization dedicated to protecting investors and promoting market integrity in the United States. We are seeking a dynamic and experienced Senior Vice President to lead our Corporate Financing and Advertising Regulation departments. This individual will play a critical role in setting the strategic direction of these departments and ensuring effective oversight of their program areas.

Key Responsibilities:

- Supervise the program operations of both the Corporate Financing and Advertising Regulation departments.
- Develop policy positions and interpretive positions in partnership with the Office of General Counsel (OGC).
- Advise the Chief Legal Officer and other senior FINRA staff, members of the Board of Governors, and advisory committees on high-impact, complex, and sensitive regulatory actions and rule changes.
- Serve as a liaison or supervise the staff liaison to member committees, subcommittees, and task forces.
- Oversee the complex review units of both departments.
- Take a leadership role in solving complex and sensitive regulatory initiatives.
- Serve as the key source of legal expertise within FINRA on advertising and corporate financing regulation.
- Oversee the preparation of committee and Board materials that contain sophisticated analyses and discussions of policy considerations.
- Devise and present 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 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 a specialized area of knowledge preferred.
- Highly developed expertise in a specialized area of knowledge preferred.
- Advanced skills in developing policy, crafting rules and staff interpretations, maintaining good member relations, and managing a large staff.
- Excellent written and verbal communication skills.
- Superior judgment and interpersonal skills.
- Strong organizational skills and attention to detail.

Work Conditions:

- Hybrid work environment (remote/office) with flexible hours.
- Travel required, as necessary.

Salary Information:

The proposed salary range for this position varies by location and is based on various factors, including the candidate's qualifications and experience.

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

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

FINRA is committed to providing a comprehensive benefits package to its employees, including:

- Health, dental, and vision insurance.
- Basic and supplemental life insurance.
- Short- and long-term disability.
- Long-term care.
- Business travel accident insurance.
- 401(k) plan with company match.
- FINRA-funded retirement contribution.
- Tuition reimbursement.
- 15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in the first year).
- Two volunteer service days.
- Military leave.
- Jury duty leave.
- Bereavement leave.
- Voting and election official leave.
- Care of a family member leave.
- Childbirth and parental leave.
- Nine paid holidays.

Important Information:

As a securities regulator, FINRA has restrictions on employees' investments and requires financial disclosures. Employees must disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements to FINRA. New employees must comply with investment restrictions before beginning employment with 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 does not accept unsolicited resumes from search firms. A valid written agreement and task order must be in place before any resumes are submitted to FINRA.

Equal Opportunity and Affirmative Action Employer:

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 also abides by the requirements of 41 CFR ) and 41 CFR ) regarding discrimination against qualified individuals with disabilities and protected veterans, respectively.

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

Not applicable.

Comprehensive health, dental, and vision insurance; life, accidental death and dismemberment, and disability insurance; retirement plan with company match; tuition reimbursement; paid time off for vacation, personal days, sick days, and volunteer service; and other employee benefits.

Not specified.

Legal expertise, policy development, risk management, governance, rule making, public speaking, leadership, travel, hybrid work environment, remote work, financial industry regulation, securities regulation, legal counsel, compliance management, corporate law, advertising law, legal policy, business strategy, financial services, government relations, risk assessment, policy analysis, corporate governance, regulatory compliance, legal research, legal writing, securities litigation, regulatory investigations, executive management, decision making, negotiation, collaboration, financial markets, investor protection, financial education, industry standards, public interest, corporate ethics, professionalism, confidentiality, invention assignment, nepotism policy, equal opportunity, affirmative action, disability accommodations, diversity and inclusion, protected status, veterans affairs, federal regulations, SIPC membership, FINRA regulations.

Law degree required, advanced degree or certification in desired subject area preferred.

Submit an application through the FINRA Careers site.

Qualification and Experience Law degree, minimum of 12 years of relevant legal experience, active state bar membership, advanced degree or certification in desired subject area, advanced skills in policy development, rule making, and staff management, excellent written and verbal communication skills, strong judgment and interpersonal skills, organizational skills and attention to detail.

Legal