Director, Government Affairs

To support the Senior Vice President of Government Affairs in managing Federal 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 perspective on policy issues that could affect the organization.

  • Develop and maintain relationships with key officeholders, officials and staff and help coordinate FINRA interaction with those individuals. 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 impact on FINRA or securities industry. Assist in recommending and implementing strategy to achieve FINRA goals on legislative and regulatory initiatives, and achieve positive outcomes in those processes. 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 FINRA continuing to achieve its mission of ensuring investor protection and market integrity of the highest level in U.S. securities markets.
  • Internal & External Coordination: The position requires extensive coordination with all departments in FINRA, including keeping CEO and senior staff apprised of pertinent governmental activity. The position also requires daily coordination with Congressional staff and officials from government agencies that often need information quickly.

  • College degree with at least 7 years experience in the government relations field.
  • Demonstrated ability to build and maintain relationships with Congress, 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.
  • Since the position requires engagement with Congress and federal agencies, registration pursuant to the Lobbying Disclosure Act will be required.

Work Conditions:
  • Normal office working conditions with required travel.

To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.

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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FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.

In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

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 restrictionsâ€"including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentâ€"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.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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