Associate Director, State Government Affairs

FINRA • Denver, DC

1d • Hybrid

About The Position

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. Serve as a key point of contact for state regulators, legislative staff and associations to facilitate communication between FINRA and state officials and staff, and lead or participate in, as appropriate, negotiations to resolve issues among the organizations. 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.

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.
• 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.

Nice To Haves

• Graduate degree is preferred.
• Strong working knowledge of state legislative and government processes is preferred.

Responsibilities

• Monitor, analyze, and track individual state initiatives that effect FINRA or regulated broker-dealers and capital markets and communicate that information to FINRA Executives.
• Monitor issues concerning state securities regulation and NASAA.
• Serve as a key point of contact for state regulators, legislative staff and associations to facilitate communication between FINRA and state officials and staff, and lead or participate in, as appropriate, negotiations to resolve issues among the organizations.
• Monitor 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.
• Demonstrate FINRA’s values.
• Collaborate, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
• Handle special research projects.
• Support OGA-sponsored conferences.

Benefits

• 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.
• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 1,001-5,000 employees