Job Description:

The Vice President, Regulatory Business Engagement in the Regulatory Services Management group (“RSM”) in FINRA’s Department of Market Regulation and Transparency Services (“MRTS”) is a senior leader and manager responsible for developing and maintaining positive and successful relationships with all FINRA’s Regulatory Services Agreement (“RSA”) Exchanges and certain other FINRA customers. This position reports directly to the Sr Vice President and leads the RSM team’s strategic mission to provide services to exchange business and regulatory management. A key member of the Market Regulation leadership team, the Vice President, Regulatory Business Engagement, collaborates and partners closely with Regulatory Operations operating units to serve as FINRA’s primary liaison and representative to the RSA Exchanges and certain other FINRA customers. The role serves as a strategic advisor to the Sr Vice President and other senior FINRA leaders in proactively identifying and resolving conflicts and/or interpretations in services that ultimately impact the RSM strategy. This role is essential to FINRA’s ability to effectively manage its relationships with the RSA Exchanges and certain other FINRA customers.

Essential Job Functions:

• Serves as FINRA’s primary liaison and representative to the RSA Exchanges and certain other FINRA customers, responsible for establishing and maintaining key relationships with senior executives and officials from the RSA Exchanges and certain other FINRA customers.


• Leads and manages the Exchange Liaison teams that serves as primary contacts to the RSA Exchanges and certain other FINRA customers, as well as to the FINRA Regulatory Operations operating units that provide the underlying regulatory services. 


• In partnership with the Sr Vice President, manages and executes business strategies that build and maintain FINRA’s RSM strategic goals in consultation with other senior leaders from FINRA’s Regulatory Operations operating units that provide the underlying regulatory services.


• Serves as the expert on the requirements set forth in each Statement of Work and Communications Protocol with each RSA Exchange.


• Leads cross functional business and technology teams to develop regulatory service proposals, contracts and solutions.  


• Leads and represents FINRA in complex business contractual negotiations.


• Leads and manages responsibility for the RSM team related to the Change Control Process, maintaining current Communication Protocols with each RSA Exchange, and executing the contractual compliance program.


• Develops, enhances, and maintains the department’s administrative and common regulatory policies. 


• Leads and manages responsibility for responding to internal and external regulatory oversights, audits, and inspections related to FINRA’s services on behalf of the RSA Exchanges and certain other FINRA customers.  


• Leads and manages expansion of business within existing contracts, efficiencies in regulatory services delivery and cost reduction opportunities.  


• Leads, manages, tracks and resolves complex issues and problems.

Education/Experience Requirements:

• Bachelor’s degree and a minimum of ten (10) years relevant experience; or an equivalent combination of education and experience.


• Advanced degree highly preferred.


• Minimum of five (5) years’ experience supervising and managing a team of professionals required.


• Substantial experience with project and account management and contract negotiation skills.


• Substantial experience with the regulation and operation of self-regulatory organizations, including Regulatory Services Agreements, SEC Rule 17d-2 agreements, and applicable regulatory reporting requirements and legal constraints.


• Exceptional organizational skills, with an ability to administer multiple complex assignments concurrently and execute against tight deadlines in multiple areas with different requirements.


• Demonstrated ability to effectively communicate with, present to, and influence key internal and external stakeholders at all levels of an organization.


• Strong collaborator and team builder, with excellent written and verbal communication, interpersonal, and presentation skills.


• Proven record of acting independently in an unstructured environment to identify and address challenges, seize opportunities, develop new initiatives and strengthen existing programs.


• Proven record of process improvement and goal attainment skills, as well as producing high quality work product.

Working Conditions:

• Work is normally performed in an office or remote work environment.


• Occasional overnight travel and extended work is required.


• Work environment includes high productivity expectations and tight deadlines.

For work that is performed in CA, Washington, DC, CO, HI, New York, NY 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.

California: Minimum Salary $175,600, Maximum Salary $345,700

Washington, DC: Minimum Salary $175,600, Maximum Salary $345,700

Colorado/Hawaii: Minimum Salary $175,600, Maximum Salary $345,700

New York, NY: Minimum Salary $175,600, Maximum Salary $345,700

Washington: Minimum Salary $175,600, Maximum Salary $345,700

#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 240.386.4865 or by email at EmployeeRelations@finra.org. 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.

Apply Now