Director, Emerging Regulatory Issues – Washington, DC



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The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Director, Emerging Regulatory Issues opening inWashington, DC. To be considered for this position, please submit your resume through our career site at – no phone calls, please.

Job Summary:

The goal of the Office of Emerging Regulatory Issues is two-fold: to identify emerging regulatory issues through a variety of information-gathering methods and to coordinate FINRA’s response to those issues.  The Director performs both a procedural and substantive role in the Office by (1) managing various programs, projects and other initiatives coordinated by the Office, including various FINRA cross-departmental initiatives; and (2) participating in the formulation and implementation of the appropriate regulatory response to emerging issues.

Independently works to define the scope of applicable projects and obtains expertise in the emerging areas by engaging with relevant market participants, reviewing academic literature and other sources, and analyzing related data, in order to serve as resource on specific emerging areas in the securities industry to various departments throughout FINRA.

Essential Job Functions:

  • Research, analyze and report on new and emerging risks, market trends, and business practices, focusing on issues that may present risks for investors or market participants or may impact FINRA and its regulatory programs, including the areas of products, business models, and market practices in the securities industry. For example, emerging areas for analysis could include FinTech, developments in the swaps market, changes to securities market structure, and trends in certain securities product classes such as ETFs.
  • Support examination and enforcement efforts by providing research and insight on market developments that may influence or inform their work.
  • Facilitate the development of risk priorities for FINRA by providing contributions to the cross-department reports.
  • Facilitate and coordinate outreach to industry participants, research analysts, academics, and other regulators on matters pertaining to emerging regulatory issues.
  • Compile and provide analysis related to new products in conjunction with an independent industry survey and provide intelligence on certain firms.
  • Develop presentations, publications, and other written work product related to emerging issues so as to facilitate awareness of and responses to those issues throughout FINRA.
  • Regularly presents emerging areas of interest to FINRA’s CEO and other senior management.
  • Represents FINRA in various forums such conference panels, leading discussion with regulators (such as the SEC and CFTC), and leading meetings with FINRA members to address various emerging issues in the securities market representing FINRA.
  • Responsible for keeping the Senior Director for Emerging Regulatory Issues and the Executive Vice Presidents of Regulation Analysis and Risk & Strategy apprised of the progress of relevant initiatives.
  • Draft publications on emerging issues in the securities market that would be distributed to FINRA’s Board, senior management and staff, as well as reports that would be made available to outside groups.
  • Train FINRA staff.

Other Responsibilities:

The Director also works with the Senior Director for Emerging Regulatory Issues to:

  • Identify and manage new programs for gathering regulatory intelligence.
  • Formulate responses to address to emerging issues.


Education/Experience Requirements:

  • Must have both project management and policy-related experience.
  • Bachelor’s degree in a related field is required; an MBA, J.D. or Economics PhD is preferred.
  • A minimum of nine (9) years of experience, including three (3) years of directly related experience and experience managing multiple projects, or similar, is required. Securities industry or regulatory experience is preferred.
  • Competency with desktop computers, Microsoft Word and Excel required.
  • Experience with Bloomberg, PowerPoint and SharePoint are a plus.
  • Excellent writing, communication and interpersonal skills are required.

Working Conditions:

  • Work is normally performed in an office environment.
  • Occasional travel may be required.
  • Extended hours may be required.

To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter into your browser to reach our site directly.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.

In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.


FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers.

FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage.

In today’s fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country.

Find out more about us and how we work—and view our current openings—at

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. 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.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

©2018 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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