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Senior Vice President, Regulatory Compliance and Policy
2 months ago
The Financial Industry Regulatory Authority, Inc. (FINRA) is seeking a highly experienced and skilled professional to serve as the Senior Vice President, Regulatory Compliance and Policy. This key leadership role will be responsible for overseeing the development and implementation of regulatory policies and procedures related to advertising and communications with the public.
Key Responsibilities- Regulatory Policy Development: Collaborate with senior management and other departments to develop and implement regulatory policies and procedures related to advertising and communications with the public.
- Compliance and Enforcement: Ensure that FINRA member firms comply with regulatory requirements related to advertising and communications with the public, and take enforcement action as necessary.
- Stakeholder Engagement: Engage with FINRA member firms, industry stakeholders, and other regulatory agencies to promote regulatory compliance and best practices in advertising and communications with the public.
- Leadership and Management: Provide leadership and management to a team of regulatory professionals, and ensure that they have the necessary resources and support to perform their duties effectively.
- Education: Bachelor's degree in a relevant field, such as law, finance, or business.
- Experience: Minimum of 10 years of experience in regulatory compliance and policy development, with a focus on advertising and communications with the public.
- Skills: Strong analytical and problem-solving skills, with the ability to communicate complex regulatory concepts to non-technical stakeholders.
- Leadership and Management: Proven leadership and management skills, with the ability to motivate and direct a team of regulatory professionals.
- Competitive Salary and Benefits: FINRA offers a competitive salary and benefits package, including health, dental, and vision insurance, as well as a 401(k) plan with company match.
- Opportunities for Professional Growth: FINRA offers opportunities for professional growth and development, including training and education programs, as well as opportunities for advancement.
- Diverse and Inclusive Work Environment: FINRA is committed to creating a diverse and inclusive work environment, with a focus on promoting diversity, equity, and inclusion in the financial services industry.
