Job Description

Associate Director, State Government Affairs

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.

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.

Salary Ranges:

• 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

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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