Director State Relations Government Affairs

1 month ago

Washington, United States Financial Industry Regulatory Authority, Inc. Full time
Director State Relations Government Affairs

Apply remote type Remote locations Washington, DC (Job Posting) Kansas City, MO (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) time type Full time posted on Posted Yesterday job requisition id R-008665

With the Senior Vice President, Government Affairs, manages State governmental affairs for FINRA. The position serves as a central point of contact between FINRA, state financial services regulators and the North American Securities Administrators Association (NASAA) and other state-based associations of state regulators. FINRA has a broad range of regulatory, legislative, operational and technology interactions with State regulators, legislatures and state associations. These interactions frequently involve issues of regulatory and reputational import to FINRA, with corresponding risks and opportunities. Assists in recommending and implementing strategy to achieve FINRA goals on legislative and regulatory initiatives.

Essential Job Functions:

  • Oversee federal legislative and regulatory actions that are important to state securities regulators and individual state initiatives that affect FINRA or its regulated firms. Analyze and track those actions and communicates that information to FINRA staff. Monitor national and state issues concerning state securities regulators and NASAA.
  • Serve as primary point of contact for state regulators and state-based associations to facilitate communication between FINRA and state officials and staff, and lead or participate in, as appropriate, negotiations to resolve issues among the organizations.
  • Develop and maintain relationships with state regulators and state-based associates to foster better FINRA interaction with those individuals. Establish reputation as trusted, credible source of information for both FINRA and external officials.
  • Monitor state actions and regulations that could affect FINRA programs and firm compliance, such as those pertaining to arbitration, the Uniform Securities Act, breaches of data security and use of social media communications. Prepare comment letters and testimony on state legislative proposals as needed.
  • Effectively respond to request for information from state regulatory officials and staff, state legislative staff, contract lobbyists. In addition, must be proactive with state regulators on issues and policies of importance to FINRA. The position will also assist the Office of Government Affairs with preparing responses to inquiries related to congressional or other government initiatives and issues.
  • Develop and manage FINRA's relationship with state regulators and NASAA – across FINRA departments/divisions. This position requires extensive partnership with Member Regulation, the Office of General Counsel, Registration and Disclosure, and other FINRA business units on developing and implementing policy issues that have a significant state regulator interaction.
  • Represent FINRA at events featuring state regulators and NASAA officials. Support FINRA’s Office of Government Affairs on maintaining constant awareness of proposed legislation, regulations, rulemakings or other regulatory initiatives and issue of state regulators and state-based associations that could affect FINRA interests.

Other Responsibilities:

  • Other duties as assigned.

Education/Experience Requirements:

  • BS/BA degree and a minimum of 10 years of relevant business preferred, including a strong working knowledge of federal and state securities regulation and working on securities issues of national and state importance. Graduate degree recommended. Legislative or regulatory experience is strongly desired, including knowledge of state governmental processes, both legislative and administrative. In addition, excellent judgement as well as analytical, communication (both oral and written) and interpersonal skills are essential. A working knowledge of FINRA and securities markets and regulation is strongly desired. Ability to manage relationships with a diverse group of constituents and stakeholders with varying (and often conflicting) interests. Must be able to communicate directly with top state regulatory officials and have public speaking experience. Ability to operate effectively in a highly complex operational, technical, policy and legal environment that is both high stakes and high volume.

Working Conditions:

  • Normal office conditions. Travel required. Position based in Washington, DC.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, 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.

Salary Ranges:

  • CA: Minimum Salary $146,200, Maximum Salary $296,100
  • CO/HI/MN/VT*: Minimum Salary $127,300, Maximum Salary $246,600
  • IL*: Minimum Salary $139,800, Maximum Salary $271,400
  • Jersey City, NJ/NY, NY: Minimum Salary $152,700, Maximum Salary $296,100
  • MD/Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800
  • WA: Minimum Salary $127,300, Maximum Salary $283,800

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

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.

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