Associate Director, State Government Affairs

Job description

The Associate Director, State Government Affairs serves as a key point of contact on state securities regulation between FINRA and financial services regulators, industry associations, the North American Securities Administrators Association (NASAA) and other associations of state policymakers and regulators, as well as with state legislatures and staff. FINRA has a broad range of regulatory, legislative, operational and technology interactions with external entities. These interactions frequently involve regulatory and oversight issues important to FINRA, with corresponding risks and opportunities. Essential Job Functions: Under limited guidance by the Senior Director, State Government Affairs, the Associate Director supports the Senior Director and the Office of Government Affairs to monitor, analyze, and track individual state initiatives that effect FINRA or regulated broker-dealers and capital markets and communicate that information to FINRA Executives. Key role in monitoring issues concerning state securities regulation and NASAA. Serve as a key point of contact for state regulators, legislative staff and associations to facilitate communication between FINRA and state offic...