The Associate Director, State Government Affairs serves as a key point of contact on state securities regulation between FINRA and financial services regulators, industry associations, the North American Securities Administrators Association (NASAA) and other associations of state policymakers and regulators, as well as with state legislatures and staff. FINRA has a broad range of regulatory, legislative, operational and technology interactions with external entities. These interactions frequently involve regulatory and oversight issues important to FINRA, with corresponding risks and opportunities.
Essential Job Functions:
Under limited guidance by the Senior Director, State Government Affairs, the Associate Director supports the Senior Director and the Office of Government Affairs to monitor, analyze, and track individual state initiatives that effect FINRA or regulated broker-dealers and capital markets and communicate that information to FINRA Executives.
Key role in monitoring issues concerning state securities regulation and NASAA.
Key role in monitoring and analyzing state legislation and regulations that could impact FINRA, its programs, rulebook and oversight of the securities industry and capital markets.
Responsible for periodic reporting on all state-related issues and activities for senior leaders and make recommendations.
Independently prepare comment letters and testimony on state legislative proposals as needed.
Recommend and oversee external state lobbying consultants as needed.
Effectively respond to requests for information from state regulatory officials and staff, state legislative staff and contract lobbyists.
Coordinate with internal stakeholders and advise FINRA Executives on enterprise-wide and program relationships with the states.
Represent FINRA at events featuring state officials.
Establish reputation as trusted, credible source of information about FINRA and oversight of the securities industry.
Demonstration of FINRA’s values.
Collaborate, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
Other Responsibilities
Handle special research projects.
Support OGA-sponsored conferences.
Education/Experience Requirements:
BS/BA degree and at least 7 years of experience in the government relations, securities law and/or securities regulation field is required, along with a strong working knowledge of securities regulation. Graduate degree is preferred.
Strong working knowledge of state legislative and government processes is preferred.
In addition, excellent judgment as well as analytical, communication (both oral and written) and interpersonal skills are essential, as well as attention to detail.
Ability to analyze and summarize effectively securities laws and position papers, and effectively manage relationships with a group of constituents with varying interests.
Ability to operate in a highly complex operational, technical, policy and legal environment.
Work Conditions:
Hybrid work environment, with defined in-person presence requirements.
Some extended hours. Travel required.
For work that is performed in Los Angeles and San Francisco, CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations.
Los Angeles, CA: Minimum Salary $141,933, Maximum Salary $212,899
San Francisco, CA: Minimum Salary $148,104, Maximum Salary $222,156
CO/FL/TX: Minimum Salary $114,200, Maximum Salary $207,200
IL/PA: Minimum Salary $125,900, Maximum Salary $228,000
MA/MD/VA/Washington, DC: Minimum Salary $131,200, Maximum Salary $238,300
NY/NJ: Minimum Salary $131,200, Maximum Salary $248,700
#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.
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Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, 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, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
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, unless otherwise required by law (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.
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