Sr Vice President, Corp Financing & Advertising Reg

Min 12 yrs required

Full-time

No

FINRA abides by the requirements of 29 CFR 5134. This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 29 CFR 1614. This regulation prohibits discrimination against qualified applicants or employees on the basis of race, color, religion, sex, national origin, age, handicap, or disability.

This position is subject to FINRA’s Code of Conduct, which applies to all securities industry employees (including applicants for employment), in addition to those of FINRA.

All of FINRA’s Code of Conduct standards, including but not limited to the confidentiality and private information standards, must be followed.

*Please note: All information provided in this job posting is subject to change at any time.

H1: Sr Vice President, Corporate Financing & Advertising Regulation - FINRA

H2: Join the Leadership Team as Sr Vice President at FINRA

Organization: FINRA
Job Title: Sr Vice President, Corporate Financing & Advertising Regulation
Experience: Minimum of 12 years of relevant legal experience
Location: Various locations (Rockville, MD, Jersey City, Dallas, Chicago, Boca Raton, Boston, Washington DC, Philadelphia, New York)
Type: Full-time

Salary Information:
- 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

FINRA, a leading securities industry regulator, is seeking a highly experienced and skilled Sr Vice President for their Office of the Chief Legal Officer's (OCLO) leadership team. This individual will be responsible for setting the strategic direction of the Corporate Financing and Advertising Regulation departments, working closely with other departments and committees, and providing expert advice and counsel to the Chief Legal Officer. The ideal candidate will have a law degree and a minimum of 12 years of relevant legal experience, as well as strong skills in policy development, rule making, and managing a large staff.

Key Responsibilities:

- Supervise the program operations of the Corporate Financing and Advertising Regulation departments.
- Develop policy positions and rule interpretations in partnership with the Office of General Counsel.
- Advise senior FINRA staff, members of the Board of Governors, and advisory committees on high-impact, complex, and sensitive regulatory actions.
- 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.
- 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/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 desired subject area preferred.
- Highly developed expertise in a specialized area of knowledge preferred.
- Advanced skills in policy development, rule making, 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 extended hours as needed.
- Travel required.

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

Salary Information:

In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation 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

Benefits:

- Comprehensive health, dental, and vision insurance.
- Basic and supplemental life insurance.
- Short and long-term disability.
- Tuition reimbursement.
- 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution.
- Generous time-off program including paid time off, personal days, sick days, and volunteer service days.
- Paid holidays.

Important Information:

- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures.
- Employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement.
- Employees must comply with the company's policy on nepotism.
- Search firms must have a valid written agreement and task order in place before submitting resumes to FINRA.

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 ), 41 CFR ), 29 CFR 5134, and 29 CFR 1614.

Please note: All information provided in this job posting is subject to change at any time.

Comprehensive health, dental, and vision insurance, life and disability insurance, 401(k) plan with company match, retirement contribution, tuition reimbursement, generous time-off program, volunteer service days, paid holidays, military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, childbirth and parental leave

Leadership, Policy Making, Regulatory Initiatives, Legal Expertise, Strategic Planning, Staff Management, Communication, Collaboration, Analytical Thinking

Law degree, advanced degree or certification in specialized area preferred

Submit an application through FINRA's website

Qualification and Experience Law Degree, Licensed to Practice Law, Advanced Degree or Certification in Specialized Area Preferred

Legal