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Senior Analyst, Office of Government Affairs - Washington, DC at FINRA

Posted in General Business 30+ days ago.

This job brought to you by eQuest

Type: Full-Time
Location: Washington, Washington DC

Job Description:

We Work to Protect Investors. Join our Team.
The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Senior Analyst, Government Affairs opening in Washington, D.C. To be considered for this position, please submit your resume through our career site at – no phone calls, please.
Job Summary:

With oversight from the Director, the position will provide
support in all levels of Government Relations and to FINRA senior management by
reporting on congressional hearings and legislative markups, as well as other
relevant industry-sponsored events; responding to congressional inquiries, GAO
inquiries and other requests for information; serving as project manager for
aspects of planning and marketing for events featuring Members of Congress
as special guests; tracking and analyzing federal legislation; and leading or
assisting in other special projects as needed. Demonstrates strong project
management skills and performs a variety of functions to assist the Government
Relations staff in day-to-day activities.

Position may be filled at various levels depending on experience and job skills of a successful candidate.

Essential Job Functions:

  • With oversight from the Director, monitor,
    cover and report out on hearings and markups conducted by various congressional
    committees with oversight of the securities industry, as well as events held by
    other regulators (e.g., SEC) and industry groups and organizations. Drafts
    time-sensitive reports to be circulated to FINRA leadership to keep them
    apprised of topics covered and positions taken on legislative proposals and
    other topics of interest.

  • Support the Director of Government Relations in planning events that involve
    Members of Congress as special guests. Serves as a project manager with
    responsibility for researching potential event sites and venues; identifying
    local advertising outlets, negotiating advertising buys and running traffic;
    liaising with congressional offices; developing event scripts and PowerPoint
    presentations; and liaising with other FINRA departments to manage registration
    for each event and prepare printed materials for onsite distribution.

  • Manage incoming information requests from congressional offices, other
    government organizations (e.g., GAO) and regulatory bodies. Work with
    departments across FINRA to gather responsive information and draft responses
    for the Director to use for senior leadership approval and signature. 

  • With oversight from the Director, continuously monitor, analyze, and track
    complex federal legislation and issues/industry developments that may impact
    FINRA and/or other regulatory bodies in the securities industry. Organize and
    present information necessary to escalate more complex issues to the Director
    and Senior Vice President of Government Relations, both orally and in writing,
    and prepare briefings for senior FINRA leaders as appropriate. 

  • Schedule meetings for FINRA senior leaders with Members of Congress and/or
    their senior staff. Prepare background memos, including biographical
    information, relevant legislation and other issues of interest to brief senior
    leaders in advance of meetings.

  • Manage various strategic projects as needed, including the FINRA Relationships
    Tracking tool to ensure meetings between senior FINRA executives and Members of
    Congress, the industry and leadership at other regulatory bodies are
    appropriately recorded and reported out to inform FINRA strategic planning
    efforts and to provide updates for FINRA Board meetings.

Education/Experience Requirements:

  • Bachelor’s
    degree in Political Science, Finance, Communications or Business is required. 

  • Two to four years, or equivalent, experience required; prior experience in the securities
    industry, communications or working in a congressional office is especially

  • Knowledge of congressional operations and experience interacting
    with congressional offices and committees is also desired. 

  • Outstanding
    organizational, written and verbal communication skills are required. Must
    exercise good judgment, use discretion and work effectively under pressure in a
    self-directed manner within a collaborative team-oriented environment. 

  • Must
    also demonstrate ability to prioritize and manage multiple projects and see
    them through to completion in a deadline-oriented environment. 

  • Must be
    proficient in Microsoft Office, especially Microsoft Word, Excel and

Working Conditions:

  • Must be available when needed to complete critical tasks, including evenings and weekends. 

  • Some travel may be 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.

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In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

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 independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers.

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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.

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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.

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