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Senior Vice President
Financial Industry Regulatory Authority (FINRA)
Rockville, MD, United States
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Description
Job Profile Summary
The Senior Vice President - Registration and Disclosure (RAD) provides leadership and advisory support to the Executive Vice President, RAD, in the performance of a full range of functions, including the management of critical functions. This role works in direct partnership with the EVP to devise and execute against strategy, and to successfully deliver against the goals and priorities of the organization. Engagement with Operations/Technology (70%), External Relations (15%), and Strategy/Policy (15%) is essential to ensuring the incumbent can effectively represent the organization on behalf of the EVP.
Essential Job Functions:
• Champion business priorities from conception to completion, including overseeing large, high profile teams, projects, or strategic initiatives. Projects are often cross- functional in nature and have organization-wide impact.
• Serve as gatekeeper for operational issues that arise which would otherwise require the attention or involvement of the EVP. Assess matters and determine the proper course of action. Identify high risk and urgent matters requiring the attention of the EVP and present such matters and potential solutions in an organized and succinct manner.
• Serve as a key member of the senior management team. Develop and maintain effective relationships with senior leaders throughout the organization. Routinely bring together multiple stakeholders to help drive decisions, influence outcomes and enable leader success.
• Act as a strategic thought partner and trusted advisor. Provide advice and counsel on matters of regulatory and organizational significance.
• Evaluate business structures and processes and assess issues that serve as barriers to operational effectiveness. Make recommendations to improve or streamline and drive implementation.
• Manage the day-to-day operations of the Registration and Disclosure department as directed by the EVP and ensure the continuity of operations when the EVP is unavailable. Regularly respond to inquiries and make decisions on behalf of the EVP.
• Assist with talent development, forecasting/budgeting, and all matters associated with building a highly effective team, in line with the organization’s culture and values.
• Represent the EVP at meetings and events with internal stakeholders.
Other Responsibilities:
• Draft and/or review consequential EVP and RAD communications.
• Create and update executive-level presentations, reports, project plans and metrics.
Qualifications
Education/Experience Requirements:
• Bachelor’s degree plus a minimum of 10 years’ experience at FINRA, another financial services regulator, or in the financial services industry or other industry with comparable operational, technology or regulatory dimensions, in positions of increasing responsibility.
• Must possess a broad and deep knowledge of the financial services industry, laws, governing rules and industry practices, or the demonstrated ability to master that body of knowledge.
• Proven record of acting independently in an unstructured environment to identify and address challenges, seize opportunities, develop new initiatives, and strengthen existing programs.
• Strong collaborator and team builder, with excellent written and oral communication, interpersonal, and presentation skills.
• Exceptional organizational skills, with an ability to administer multiple complex assignments concurrently and execute against tight deadlines in multiple areas with different requirements.
• Excellent leadership skills, including the ability to organize and deal effectively with people from a variety of backgrounds in order to reach timely, informed decisions.
Working Conditions:
• Work is normally performed in an office environment, with extended hours when necessary.
• Some Travel Required.
To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.
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.
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.
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.