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

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

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.

Please note : If the "Apply Now" button on a job board posting does not take you directly to the FINRA Careers site, enter www.

finra.org / careers into your browser to reach our site directly.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at redacted or by email at EmployeeR redacted .

Please note that this process is exclusively for inquiries regarding application accommodations.

Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance.

Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse / domestic partner and dependent life, and spouse / domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.

FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year).

Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule).

Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment);

and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

Based on full-time schedule

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.

You can read more about these restrictions here.

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.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity.

Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA.

All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

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.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.