Job Description

Associate Director, State Government Affairs

The Associate Director, State Government Affairs serves as a liaison on state regulatory and legislative matters. This role monitors and analyzes state legislative and regulatory initiatives affecting FINRA and the securities industry, delivering actionable intelligence to senior leadership. The position manages critical stakeholder relationships by serving as a point of contact for state regulators and legislative staff on negotiations involving complex inter-organizational issues, and represents FINRA at meetings, conferences and events. Key responsibilities include independently preparing comment letters and testimony on state proposals, managing external lobbying consultants, coordinating with internal stakeholders to assess regulatory impacts on FINRA programs, and advising executives on enterprise-wide state relationship strategies. This position is an individual contributor who works independently with minimal oversight and collaborates effectively with stakeholders.

Essential Job Functions:

• Identifies and monitors state legislation, regulations and issues that could impact FINRA programs and oversight of the securities industry and capital markets.
• Maintain coalition of partners and stakeholders.
• Monitors, analyzes and tracks individual state initiatives that effect FINRA or regulated broker-dealers and capital markets and communicates key information to senior leadership across the organization.
• Serves as a point of contact for state regulators, legislative staff and associations to facilitate communication between FINRA and state officials and staff, and leads or participates in negotiations to resolve issues among the organizations.
• Independently prepares comment letters and testimony on state legislative proposals.
• Recommends and oversees external state lobbying consultants.
• Responds to requests for information from state regulatory officials and staff, state legislative staff and contract lobbyists.
• Coordinates with internal stakeholders and advises FINRA Executives on enterprise-wide and program relationships with the states.
• Represent FINRA at meetings, events and conferences featuring state officials.
• Provides accurate, timely information and guidance to internal and external stakeholders.
• Demonstrates FINRA's values.
• Collaborates, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.

Education/Experience Requirements:

• Bachelor's degree and a minimum of seven (7) years of experience in government relations, securities law and/or securities regulation field required; or an equivalent combination of education and directly related professional experience.
• Advanced degree preferred.
• Strong working knowledge of securities regulation.
• Strong working knowledge of state legislative and government processes is preferred.
• Strong analytical and critical thinking skills with demonstrated ability to apply sound judgment when assessing complex regulatory matters.
• Excellent written and verbal communication skills, including the ability to articulate technical concepts clearly to both specialized and non-technical audiences.
• Superior attention to detail and accuracy in reviewing documentation, preparing reports, and maintaining records.
• Effective interpersonal skills with ability to build collaborative relationships across all organizational levels.
• Ability to operate in a highly complex operational, technical, policy and legal environment.

Work Conditions

• Hybrid work environment, with defined in-person presence requirements.
• Extended hours required.
• Travel required (15%).

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