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Vice President, Regulatory Liaison
3 months ago
Essential Job Functions:
Build strong and trusting relationships with other regulators.
- Take a strategic approach to leading and proactively developing and managing interactions with the SEC and States, partnering closely with OLC and Government Relations, to build and maintain strong working relationships.
- Interact confidently, effectively, and autonomously with executive level leaders from FSIO and other areas of the SEC, the Chief / Secretary for each state’s securities division, or from other regulators, representing Member Supervision EVP and department senior leaders.
- Engage directly with regulators to solicit feedback relating to ongoing engagements and overall relationship and incorporate going forward to further enhance interactions.
- Advise Member Supervision’s EVP on organizational structure, roles and staffing of ORL needed to manage the relationships and interactions effectively and efficiently, on an evolving basis.
Provide strategic advice to Member Supervision executive leadership regarding regulatory trends and patterns that may indicate areas of emerging risk to investors and the market that may be derived from interactions and communications with external/co-regulators.
- Produce strategic, high-quality responses to regulatory requests and prepare executive leadership for oversight meetings.
Lead Member Supervision in responding to numerous, complex, and concurrent inquiries, requests, and reporting requirements from external regulators.
- Manage responses to requests for information to ensure our response is timely and well thought through to mitigate risk. This may include considering the purpose of the request, similar prior requests, and potential for follow up requests.
- Hold prep sessions in advance of responding to FSIO’s exam related questions that will result in consistent and confident Member Supervision responses and serve to provide Member Supervision staff with insight and education into the FSIO requests.
- Using the collective view of all ongoing requests and regulator interactions, recommend to Member Supervision senior leadership enhancements to programs or additional testing it should undertake to minimize risk to FINRA in FSIO oversight reviews.
Partner with FINRA’s Office of Liaison and Counsel (OLC), program heads across Member Supervision, and senior leadership from other FINRA departments to:
- Manage all aspects of regularly scheduled and ad hoc meetings with the SEC and states to ensure they achieve agreed upon objectives. This includes, determining appropriate meeting participants, preparing attendees on how to tailor the discussion to the audience, providing relevant information in advance of the meetings, preparing high quality and informative decks to be produced, and debriefing to refine approach to future meetings.
- Lead the strategic and efficient management of SEC FSIO oversight exams and quarterly FSIO meetings with Member Supervision. Create a consistent and efficient approach from the outset, through the response to final exam reports, attend oversight meetings as needed, and track and implement commitments.
- Work with the Data & Analytics team to develop informative metrics responsive to regulatory requests and that strategically convey Member Supervision’s work.
- Manage and obtain the necessary regulatory intelligence from exam and risk monitoring staff, and prepare meeting participants for annual meetings with state regulators.
Oversee development of metrics and reports for Member Supervision senior leadership that most effectively reflect:
- Information sought by each requesting agency, to provide early indicators of areas of focus so that Member Supervision can proactively address rising areas of regulatory concern;
- Findings and exceptions, to note where additional attention may be needed; and
- Regulatory trends and patterns, which may indicate emerging areas of risk to investors and the markets.
Serve as a subject matter expert on regulatory issues and relationships.
Lead and manage a team who support the execution of the goals of the Office of Regulatory Liaison and the continued strengthening of Federal and State Regulatory partnership with Member Supervision.
Education/Experience Requirements:
- Bachelor's Degree. Major in Accounting, Finance, Economics, Business Administration, or related fields preferred.
- MBA, JD, other graduate degree and/or relevant industry certification(s) preferred.
- Significant securities, compliance or financial regulatory experience
- Significant experience managing complex projects or programs.
- Significant Experience leading and managing a team. Advanced working knowledge of relevant FINRA, SEC, and SRO rules
- Knowledge of external regulator's mandates
- Expert ability to recognize and understand the relationship and impact between regulatory areas
- Expert ability to effectively liaise with internal and external parties
- Expert communication, interpersonal and leadership skills
- Expert relationship building skills
- Expert ability to make timely decisions, and autonomously, with little oversight.
Working Conditions:
- Work is performed in a hybrid work environment.
- Frequent travel may be required.
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.
CA: Minimum Salary $175,600, Maximum Salary $345,700
CO/HI/MN/VT*: Minimum Salary $175,600, Maximum Salary $345,700
IL*: Minimum Salary $175,600, Maximum Salary $345,700
Jersey City, NJ/NY, NY: Minimum Salary $175,600, Maximum Salary $345,700
MD/Washington, DC: Minimum Salary $175,600, Maximum Salary $345,700
WA: Minimum Salary $175,600, Maximum Salary $345,700
*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.
#LI-Hybrid
