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Vice President & Senior Advisor
Financial Industry Regulatory Authority (FINRA)
New York, NY, United States
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Description
FINRA’s mission is Investor Protection, Market Integrity and our Member Supervision group is at the heart of that mission. Their work is critical in safeguarding investors and ensuring the integrity of our financial markets.
We are seeking a well-qualified individual for our Vice President & Senior Advisor of Member Supervision opening in any of our FINRA locations.To be considered for this position, please submit your resume through our career site at www.finra.org/careers.
Job Summary
Reporting to the Senior Vice President and Chief of Staff, the Senior Advisor, Member Supervision provides expert advice to the executive management team of Member Supervision on a full range of operational, policy and regulatory issues. This support is essential to enabling the executive management team to effectively execute against Member Supervision goals and strategic and operational priorities.
Essential Job Functions:
• Act as a “behind-the-scenes” utility for the EVP, trusted and able to act on behalf of the EVP in a variety of circumstances and effectively communicate the EVP’s perspectives in internal and external settings.
• Understand, triage and address a wide range of complex, and often novel, policy and operational matters. Adapt quickly to changing circumstances and respond to crises. Contribute expert knowledge to background analysis and recommendations for the EVP’s use.
• Key member of the senior management team. Draws from perspectives throughout the organization, but always remains guided by the long-term strategic goals of the EVP and FINRA.
• Serve as the authority on Member Supervision matters for FINRA’s Office of Government Affairs related to information responsive to requests from external parties such as Congress, GAO and state securities regulators.
• Leverage comprehensive knowledge of Member Supervision operational, policy and regulatory activities to advise FINRA’s Corporate Communications staff in the development of responses to media inquiries, internal and external communications, and external speaking engagements.
• Provide advice and support to the EVP on matters of significance, frequently sensitive or confidential in nature, related to the management and operations of Member Supervision. Such advice and counsel may address, among other matters:
◦ Organizational structure and hiring/staffing for key functions
◦ Strategic planning and risk assessment
◦ Policy and legal matters
◦ Board materials
◦ Member relations
◦ Member Supervision communications, including public speeches and discussions
• Lead or shepherd implementation of special projects as identified and prioritized by the EVP.
• Provide advice and support to the EVP regarding FINRA’s relations and interactions with other regulators, government officials, the media, members, investors and other stakeholders.
Other Responsibilities:
• Review internal and external communications.
• Create and update presentations, reports, project plans and metrics.
Qualifications
Education/Experience Requirements:
• Bachelor’s degree, preferably with a major in Economics, Finance, Accounting, or Business. MBA, JD, or other graduate degree preferred.
• Minimum of ten years’ experience in the financial services industry, at FINRA, or another financial services regulator, in positions of increasing responsibilities.
• Expert knowledge of, and experience with, the regulation and operation of the U.S. broker-dealer industry, as well as familiarity with the broader landscape of financial regulation.
• Expert knowledge of, and experience with, the regulation and operation of self-regulatory organizations, including the applicable legal constraints.
• 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 verbal 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.
• Frequent travel is required.
• Extended hours are 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.
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.