Vice President, Corporate Financing

The Vice President, Corporate Financing Department, is a key member of the Corporate Financing and Advertising Regulation leadership team within the Offices of the Chief Legal Officer (OCLO).

The function of the Corporate Financing Department is primarily interpretive, with inherent policymaking outcomes. Through its regulatory review programs, rulemaking and interpretation, and member education and outreach, the Corporate Financing Department helps protect investors by ensuring that FINRA members that participate in public and private offerings comply with FINRA and SEC rules that regulate capital raising, including underwriting and investment banking compensation terms, conflicts of interest, and disclosure requirements in public and private offerings.

The regulatory review programs include the analysis of public offering and private placement filings submitted by firms, inquiries that the Department conducts, and examinations, investigations, and sweeps by other FINRA departments in which the Department provides expertise and assistance.

Leadership of the Corporate Financing Department requires development of policies, strategies, and decisions consistent with corporate goals, effective collaboration with other FINRA departments in the administration of the Department’s regulatory programs and policies, the ability to identify and effectively respond to emerging regulatory and programmatic concerns, and to propose, develop, and implement new initiatives including rulemaking and interpretive advice, related to the Corporate Financing Rules and other related FINRA and SEC rules.

This leadership also includes management of the staff of the Corporate Financing Department. The Vice President, Corporate Financing Department, must perform these functions with minimal supervision and demonstrate consistent exercise of sound judgment.

The Vice President, Corporate Financing Department, will have direct contact with senior management of the OCLO, including the Chief Legal Officer as well as senior management of other FINRA departments.

Essential Job Functions :

• Ensures the effective operation of the Department, including managing its regulatory review programs, policy and rulemaking initiatives, budget, personnel, technology, and resource needs.
• Provides high-level expertise, policy guidance, and interpretation to Member Supervision, Enforcement, Market Regulation and Transparency Services, Advertising Regulation, and other FINRA departments, in partnership with the Office of General Counsel.
• Provides expert advice senior management on high-impact and sensitive matters as well as developments in filings, cases, or industry practices that may impact the Department’s programs, rules, or policies.
• Role models inspirational, supportive, and collaborative leadership, and creates a team environment that encourages constructive feedback and strong employee engagement.
• Oversees advice and assistance provided by Department staff in sensitive, significant, or litigated matters and engages with senior leaders in OCLO and other departments as needed to coordinate regulatory approaches and outcomes.
• With respect to the Corporate Financing Rules and related rules, collaborates with the Office of General Counsel to coordinate regulatory policy and develop rules and guidance, including the preparation of regulatory notices, SEC filings, briefing materials for committees, and items for the FINRA Board.
• With the support of the Office of General Counsel, evaluates and acts upon requests by firms and counsel for interpretations and exemptions from the Corporate Financing Rules and related rules.
• Leads the Department’s outreach and educational efforts for both internal and external stakeholders and represents the Department by speaking at conferences, training sessions, and meetings.

Serves as Staff Liaison to the FINRA Corporate Financing Committee.

• Oversees the development of sweeps, investigations, and enforcement referrals and advises the Senior Vice President, Corporate Financing and Advertising Regulation, and other FINRA leaders on charges and litigation risks in high priority cases.
• Oversees the Department’s technology developments, interacting regularly with technology leadership to assure technology systems meet Department needs and corporate requirements.

Oversees development and implementation of system redesign and development projects for the Department’s review programs.

Education / Experience Requirements :

• Bachelor’s degree and a minimum of ten years of experience in the securities industry including experience regarding FINRA’s Corporate Financing Rules.
• Post-graduate degree in law, finance, or business is preferred.
• Leadership experience with respect to large, multi-level, diverse, geographically dispersed teams with an emphasis on remote management experience.
• Expert knowledge of the regulation of public and private capital raising activities and relevant rules, guidance, and industry practices and precedents, including FINRA’s Corporate Financing Rules.
• Knowledge of FINRA’s regulatory operations, including the disciplinary process, examination programs, and overall functions and mission.
• Demonstrated expert written and verbal communication skills. Public speaking experience required.
• Demonstrated skills in developing policy, crafting rules and staff interpretations, and maintaining good member relations.
• Advanced and excellent judgment and interpersonal skills.
• Strong organization skills and excellent attention to detail.

Work Conditions :

• Hybrid work environment (remote / office) with hours that may extend beyond normal business hours.
• Travel will be required, as necessary.

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