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About the Role

Serves as a liaison on state regulatory matters, monitoring and analyzing legislative and regulatory initiatives affecting FINRA and the securities industry. Delivers actionable intelligence to senior leadership and manages critical stakeholder relationships. Represents FINRA at meetings, conferences, and events. Works independently with minimal oversight, collaborating effectively with stakeholders.

Responsibilities

• Monitor, analyze, and track state initiatives affecting FINRA or regulated broker-dealers and capital markets.
• Communicate key information to senior leadership.
• Serve as a point of contact for state regulators, legislative staff, and associations.
• Lead or participate in negotiations to resolve inter-organizational issues.
• Identify and monitor state legislation, regulations, and issues impacting FINRA programs and securities industry oversight.
• Prepare comment letters and testimony on state legislative proposals.
• Recommend and oversee external state lobbying consultants.
• Respond to information requests from state regulatory officials, legislative staff, and contract lobbyists.
• Coordinate with internal stakeholders and advise executives on state relationship strategies.
• Represent FINRA at meetings, events, and conferences with state officials.
• Provide accurate, timely information and guidance to stakeholders.
• Demonstrate FINRA’s values.
• Collaborate to further FINRA’s mission of investor protection and market integrity.

Requirements

• Bachelor’s degree and a minimum of seven years of experience in government relations, securities law, or securities regulation.
• Equivalent combination of education and directly related professional experience.
• Strong working knowledge of securities regulation.
• Strong analytical and critical thinking skills with sound judgment in complex regulatory matters.
• Excellent written and verbal communication skills, articulating technical concepts clearly.
• Superior attention to detail and accuracy in documentation, reports, and records.
• Effective interpersonal skills to build collaborative relationships across all organizational levels.
• Ability to operate in a highly complex operational, technical, policy, and legal environment.

Skills

• Securities regulation knowledge
• State legislative and government processes knowledge
• Analytical skills
• Critical thinking skills
• Written communication
• Verbal communication
• Attention to detail
• Accuracy
• Interpersonal skills

Location

• Los Angeles, CA
• San Francisco, CA
• CO
• FL
• TX
• IL
• PA
• MA
• MD
• VA
• Washington, DC
• NY
• NJ

Work Type

• Hybrid

Experience Level

• Minimum of seven years of experience

Education Level

• Bachelor’s degree
• Advanced degree (preferred)

Salary/Compensations

• Los Angeles, CA: $141,933 - $212,899
• San Francisco, CA: $148,104 - $222,156
• CO/FL/TX: $114,200 - $207,200
• IL/PA: $125,900 - $228,000
• MA/MD/VA/Washington, DC: $131,200 - $238,300
• NY/NJ: $131,200 - $248,700
• Discretionary bonus eligibility
• Overtime pay eligibility for non-exempt employees

Benefits

• Comprehensive health insurance
• Dental insurance
• Vision insurance
• Basic life insurance
• Accidental death and dismemberment insurance
• Supplemental life insurance
• Spouse/domestic partner and dependent life insurance
• Spouse/domestic partner and dependent accidental death and dismemberment insurance
• Short-term disability
• Long-term disability
• Long-term care
• Business travel accident insurance
• Legal insurance
• Immediate 401(k) participation and vesting with company match
• FINRA-funded retirement contribution eligibility
• Tuition reimbursement
• Commuter benefits
• Adoption assistance
• Backup family care
• Surrogacy benefits
• Employee assistance programs
• Wellness programs
• 15 days of paid time off (pro-rated in first year)
• 5 personal days (pro-rated in first year)
• 9 sick days (pro-rated in first year)
• Two volunteer service days
• Military leave
• Jury duty leave
• Bereavement leave
• Voting and election official leave
• Care of a family member leave (after 90 days of employment)
• Childbirth and parental leave (after 90 days of employment)
• Nine paid holidays

About the Company

• Independent, non-governmental regulator for securities firms in the United States.
• Protects investors and maintains market integrity in partnership with the SEC.
• Operates as an investor guardian, informed but not influenced by the industry.
• Plays a critical role in America’s financial system at no cost to taxpayers.
• Engages in registering and educating industry participants, examining securities firms, writing and enforcing rules, informing the public, providing trade reporting, and administering dispute resolution.
• Utilizes technology to detect market abuses, insider trading, and unfair advantage strategies.
• Advocates for investors, dedicated to fair markets and addressing emerging regulatory issues.

Equal Opportunity

• FINRA is an Equal Opportunity Employer.
• All qualified applicants receive consideration for employment without regard to legally protected categories including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or other protected classifications.
• Provides disability-related accommodations for the application process; contact Employee Relations for assistance.
• Abides by 41 CFR 60-741.5(a), prohibiting discrimination against qualified individuals with disabilities and requiring affirmative action.
• Abides by 41 CFR 60-300.5(a), prohibiting discrimination against qualified protected veterans and requiring affirmative action.