Vice President, Advertising Regulation

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. 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. 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.