Director, Government Affairs

Job Summary

To support the Senior Vice President of Government Affairs in managing Government Affairs for FINRA. This includes maximizing FINRA’s recognition and positive reputation among key federal and state governmental officials and staff, educating those individuals about FINRA’s regulatory and educational initiatives, and advocating FINRA’s perspective on policy issues that could affect the organization.

Essential Job Functions

• Develop and maintain relationships with key officeholders, officials, and staff. Help coordinate FINRA’s interaction with these individuals.
• Establish a reputation as a trusted, credible source of information about FINRA and the securities industry among congressional and regulatory officials and staff.
• Monitor legislative and regulatory initiatives for their impact on FINRA or the securities industry.
• Recommend and implement strategies to achieve FINRA goals on legislative and regulatory initiatives and secure positive outcomes.
• Effectively utilize outside consultants to support these efforts.

Scope & Supervisory Responsibilities

As a private-sector regulator, FINRA can be significantly affected by the actions of Congress and state securities officials. A positive perception of FINRA in the legislative arena is critical to its mission of ensuring investor protection and maintaining high levels of market integrity in U.S. securities markets.

Internal & External Coordination

This position requires extensive coordination with all FINRA departments, including keeping the CEO and senior staff informed of pertinent governmental activity. It also involves daily collaboration with congressional staff and officials from government agencies who often need information quickly.

Education/Experience Requirements

• Bachelor’s degree with at least seven (7) years of experience in the government relations field.
• Proven ability to build and maintain relationships with high-ranking government officials, government staff, and senior-level private sector representatives.
• Demonstrated knowledge of and ability to influence legislative and regulatory processes.
• Excellent writing and verbal communication skills.

Work Conditions

• Hybrid work environment with required travel.
• For positions performed in specific states, the proposed salary ranges are as follows:
  • California: $146,200–$296,100
  • Colorado, Hawaii, Minnesota, Vermont: $127,300–$246,600
  • Illinois: $139,800–$271,400
  • Jersey City, NJ/New York, NY: $152,700–$296,100
  • Maryland/Washington, DC: $146,200–$283,800
  • Washington: $127,300–$283,800

Candidates can expect salary offers ranging from the minimum to the mid-point of the salary range. FINRA provides full pay ranges to highlight growth potential.

Benefits

FINRA offers comprehensive benefits, including:

• Health, dental, and vision insurance
• Life and disability insurance
• 401(k) plan with company match and additional FINRA-funded retirement contributions
• Wellness support, including adoption assistance, backup family care, and employee assistance programs
• Generous time off:
  • 15 paid days off, 5 personal days, 9 sick days
  • 2 volunteer service days
  • Military leave, jury duty leave, bereavement leave, voting leave, and parental leave

Important Information

• Employees must comply with FINRA’s Code of Conduct, which includes financial disclosure and securities account restrictions.
• Employees must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and adhere to the company’s nepotism policy.
• Search Firm Representatives: Unsolicited resumes from search firms will not be accepted without a valid written agreement and task order.

Equal Opportunity Employment

FINRA is an Equal Opportunity and Affirmative Action Employer. All qualified applicants will receive consideration without regard to:

• Age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status, or other protected classifications.

FINRA complies with:

• 41 CFR 60-741.5(a) – Affirmative action for individuals with disabilities.
• 41 CFR 60-300.5(a) – Affirmative action for protected veterans.

Application Process

To apply, visit www.finra.org/careers. For accommodation inquiries, contact FINRA’s Employee Relations team at 240.386.4865 or [email protected].