Vice President, Advertising Regulation

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. Leadership of the Advertising Regulation Department requires development of policies, strategies, and decisions consistent with corporate goals, effective collaboration with other FINRA departments in the administration of the Department’s regulatory programs, the ability to identify and effectively respond to emerging regulatory and programmatic concerns, and to propose, develop, and implement new initiatives related to the Communications with the Public (CWP) Rules which include FINRA, SEC, and MSRB rules and the SIPC Advertising Bylaw. This leadership also includes management of the staff of the Advertising Regulation Department. Education/Experience Requirements: • Bachelor’s Degree and minimum of ten (10) years of experience regarding the regulation of FINRA members’ communications with the public. 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.