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Senior Director, Federal Relations

Washington DC

The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Senior Director, Federal Relations opening in Washington, DC.

Job Summary:

To support and partner with the Senior Vice President of Government Relations in Managing Federal Government Relations for FINRA, serving as lead manager, coordinator, and contact on a large number of federal issues, responding to Congressional and Congressional oversight Committee inquiries, document requests and congressional testimony as well as events involving members of Congress, their staff and oversight Committees. Will also be responsible for maximizing FINRA’s recognition and positive reputation among key federal and state governmental officials and staff, educating those individuals about FINRA’s regulatory, investor protection and educational initiatives, and advocating FINRA perspective and positions on policy issues that could affect the organization. This will include an expanded effort to raise FINRA’s profile with members of Congress and their staff, oversight Committees, federal agencies, state securities regulators and incorporate increased FINRA executives’ participation in those efforts.

Essential Job Functions:

  • Develop and maintain relationships with key industry executives, including relevant trade associations, officeholders and staff, oversight Committees, regulatory officials and staff, think tanks, relevant public policy stakeholders and coordinate FINRA interaction with those individuals.  Serve as an independent lead on significant Office of Government Affairs and cross-organization projects, policy development, issues and relationships. Establish reputation as trusted, credible source of information about FINRA and the securities industry among Congressional and regulatory officials and staff.  Monitor legislative and regulatory initiatives for affect on FINRA or securities industry and advise FINRA executives and senior management of any potential issues.  Develop, recommend and implement strategies to achieve FINRA policy goals on legislative and regulatory initiatives, and achieve positive outcomes in those processes; direct and lead other FINRA staff and outside consultants to support these efforts.
  • The position requires extensive coordination with all departments in FINRA, including keeping the CEO, senior executives and business units apprised of pertinent Congressional and governmental activity.  In addition, the position requires communication with FINRA’s Management Committee, Board of Governors and other relevant management of  activity in relation to government officials and staff.    Analyze and track those actions and communicate that information to FINRA executives and business units.  Use regulatory and relationship expertise to develop and implement innovative strategies to address policy positions and strategic goals.  Collaborate with internal executives and business lines and innovate to solve challenges in the relationship between FINRA and stakeholders. Lead or participate in, as appropriate, negotiations among the business units to resolve prominent issues important to Congress and regulatory entities.
  • The position requires daily coordination with Members of Congress, Congressional staff, oversight Committees and officials from other government agencies and state officials. The Senior Director also will serve as lead contact with specified external parties including government officials and staff as well as key third party groups and representatives engaged in issues of interest to FINRA.  In addition, the Senior Director will work with the Office of Corporate Communications in preparing materials for public dissemination.  The Senior Director will have primary responsibility for oversight and management of Congressional events, Investor Forums and other key external stakeholder events involving the Office of Government Affairs.

Scope & Supervisory Responsibilities:

  • As a private sector regulator, FINRA can be significantly affected by the actions of Congress and state securities officials, as well as state legislation.  A positive perception of FINRA in the legislative and regulatory arenas is critical to FINRA continuing to achieve its mission of ensuring investor protection and market integrity of the highest level in U.S. securities markets.

Education/Experience Requirements:

  • College degree with at least 10 years of experience in the government relations field.  
  • Demonstrated ability to build and maintain relationships with members of Congress and their staff, Congressional oversight Committees, high-ranking government officials, government staff, and senior-level private sector representatives, among others.  
  • Demonstrated knowledge of and ability to affect legislative and regulatory processes.  
  • Excellent writing and oral communication skills.  
  • Ability to manage and lead projects across departments of FINRA and involving FINRA Executives and Board members.  
  • Ability to work independently and demonstrate consistently good judgment in managing important relationships with key regulators and congressional overseers.  
  • Since the position requires engagement with Congress and federal agencies, registration pursuant to the Lobbying Disclosure Act will be required.

Working Conditions:

  • Normal office working conditions with required travel.
To be considered for this position, please submit your resume through our career site at – no phone calls, please.

Posted September 9, 2019

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