Vice president

The Vice President, Advertising Regulation Department, is a key member of the Corporate Financing and Advertising Regulation leadership team within the Offices of the Chief Legal Officer (OCLO). The regulatory review programs include the analysis of communications submitted to the Department by FINRA member firms and communications uncovered through examinations, investigations, regulatory tips, sweeps, or spot checks by the Department and other FINRA departments. • With respect to the CWP Rules, collaborates with the Office of General Counsel to coordinate regulatory policy and develop rules and guidance including the preparation of regulatory notices, SEC filings, briefing materials for committees, and items for the FINRA Board. Education / Experience Requirements : • Bachelor’s Degree and minimum of ten (10) years of experience regarding the regulation of FINRA members’ communications with the public. • Expert knowledge of rules that apply to FINRA member firms’ communications with the public, in particular the CWP rules.