Sr Vice President, Corp Financing & Advertising Reg

The Sr Vice President of Corporate Financing and Advertising Regulation is key member of the Office of the Chief Legal Officer's (OCLO) leadership team and is responsible for setting the strategic direction of their group. The function of these departments is primarily interpretive, with inherent policymaking outcomes; they also review filings in their program areas, including complex reviews of areas of concern, collaborate with other departments, and work closely with focused subject matter committees. Supervision of these departments involves policy decisions concerning these responsibilities, developing departmental strategy in accordance with corporate goals, representing FINRA concerning these areas of responsibility, and working with other departments to ensure effective oversight of these program areas. 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. Demonstrated ability to perform these functions with minimal or no supervision. Consistent exercise of superior judgment. Will have direct contact with senior management, including the Chief Executive Officer, and members of the Board of Governors. Essential Job Functions: <ul> <li> Supervises the program operations of both offices.</li> <li> Develops policy making positions, rule making and interpretive positions in partnership with the Office of General Counsel (OGC).</li> <li> Advises the Chief Legal Officer and other senior FINRA staff, members of the Board of Governors, and advisory committees with respect to high-impact, legally and politically complex and sensitive regulatory actions, initiatives, and rule changes.</li> <li> Serves as liaison or supervise the staff liaison to member committees, various subcommittees and ad hoc task forces.</li> <li> Oversees the complex review units of both departments.</li> <li> Takes a leadership role in solving complex and sensitive regulatory initiatives. Serve as the key source of legal expertise within the FINRA concerning advertising and corporate financing regulation and provide independent expert advice on questions in these subject areas.</li> <li> Oversees the preparation of committee and Board materials that contain sophisticated analyses and discussions of competing policy or political considerations necessary for the informed judgment of the issues by the advisory committees of the Board.</li> <li> Oversees the drafting of new rule proposals and proposed filings to the SEC in partnership with OGC.</li> <li> Devise sand presents original, creative, innovative, and sophisticated solutions and proposals for changes to existing rules, including the elimination or reduction of unnecessary regulation and the adoption of new rules.</li> <li> Manages public communication of regulatory proposals and legal interpretations to member firms, members of the bar, the media, and other interested parties. Attend and speak at regulatory policy public conferences and meetings of the standing committees of the Board.</li> </ul> Education/Experience Requirements: <ul> <li> Law degree and a minimum of twelve (12) years of relevant legal experience</li> <li> Must be licensed to practice law in the state in which they will be working</li> <li> Advanced degree or formal certification that provides greater knowledge or specialization within the desired subject area preferred</li> <li> Highly developed expertise in a specialized area of knowledge that is central to the overall mission of the organization preferred</li> <li> Advanced skills in developing policy, in crafting rules and staff interpretations, in maintaining good member relations, and in managing a large staff</li> <li> Advanced and excellent written and verbal communication skills</li> <li> Advanced and excellent judgment and interpersonal skills</li> <li> Strong organizational skills and excellent attention to detail</li> </ul> Work Conditions <ul> <li> Hybrid work environment (remote/office) with hours which may extend beyond normal business hours.</li> <li> Travel will be required, as necessary.</li> </ul> For work that is performed in CA, Washington, DC, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. 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 #LI-Hybrid To be considered for this position, please submit an application. Applications are accepted on an ongoing basis. The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required. Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly. FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations. Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits. Time Off and Paid Leave* FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays. <ul> <li>Based on full-time schedule</li> </ul> Important Information FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment. <br> As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism. 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. 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 as appropriate, or upon the protected status of the person’s relatives, friends or associates. FINRA abides by the requirements of 41 CFR 60-741.5(a). 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 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.