Job Description

The Vice President, Advertising Regulation 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 Advertising Regulation Department is primarily interpretive, with inherent policymaking outcomes. Through its regulatory review programs, rulemaking and interpretation, and member education and outreach, the Advertising Regulation Department helps protect investors by ensuring FINRA member firms’ communications with the public are fair, balanced, and not misleading. The regulatory review programs include the analysis of communications submitted to the Department by FINRA member firms and communications uncovered through examinations, investigations, regulatory tips, sweeps, or spot checks by the Department and other FINRA departments.

Leadership of the Advertising Regulation 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, the ability to identify and effectively respond to emerging regulatory and programmatic concerns, and to propose, develop, and implement new initiatives related to the Communications with the Public (CWP) Rules which include FINRA, SEC, and MSRB rules and the SIPC Advertising Bylaw. This leadership also includes management of the staff of the Advertising Regulation Department. The Vice President, Advertising Regulation, must perform these functions with minimal supervision and demonstrate consistent exercise of sound judgment. The Vice President, Advertising Regulation, 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, Corporate Financing, and other FINRA departments, in partnership with the Office of General Counsel.
• Provides expert advice to 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, policies, or the CWP Rules.
• Role models inspirational, supportive, and collaborative leadership, and creates a team environment that encourages constructive feedback and strong employee engagement.
• Advises Enforcement on disciplinary actions related to the CWP Rules.
• With respect to the CWP 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 communications rules.
• Leads the Department’s outreach and educational efforts for both external and internal stakeholders, oversees the planning of the biannual Advertising Regulation Conference, and represents the Department by speaking at conferences, training sessions, and meetings. Serves as Staff Liaison to the FINRA Public Communications Committee.
• Oversees the development of Department-initiated targeted examinations, sweeps, or spot checks related to the CWP Rules in accordance with FINRA policy and advises other regulatory departments on targeted examinations or sweeps they initiate that relate to the CWP Rules.
• Oversees the Department’s technology development interacting regularly with technology leadership to assure technology systems meet Department needs and corporate requirements.

Education / Experience Requirements :

• Bachelor’s Degree and minimum of ten (10) years of experience regarding the regulation of FINRA members’ communications with the public.
• 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 rules that apply to FINRA member firms’ communications with the public, in particular the CWP 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 organizational 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
• 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.

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