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Company Name:
Approximate Salary:
Not Specified
Washington DC, District of Columbia
United States
Position type:
Full Time
Experience level:
6-9 Years
Education level:
Bachelor's Degree

Associate Director - Corporate Governance & Elections

We Work to Protect Investors. Join our Team.

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

Job Summary:

The Associate Director, Corporate Governance and Elections is part of the management team of the Office of the Corporate Secretary (OCS). The position supports the Vice President - Corporate Governance and the Executive Vice President – Board and External Relations in managing the activities of the FINRA Board of Governors (Board), provides leadership within the department, and ensures FINRA’s compliance with various corporate governance requirements. This position reports to the Vice President - Corporate Governance/Deputy Corporate Secretary (DCS) and is responsible for managing all aspects of the corporate election processes, and consulting and advising on issues related to the governance of FINRA and its subsidiaries. This position interacts with senior and executive management, board members, member firms, as well as staff at various levels across the organization. The Associate Director must understand FINRA’s strategy and political sensitivities in formulating goals and helping FINRA and OCS meet its goals and objectives.

Essential Job Functions:

Corporate Governance – Establish reputation as a trusted and key source of information with respect to FINRA’s corporate governance requirements, board procedures, and election processes among FINRA staff, FINRA member firms, and the Board. Provide expert advice and assist in ensuring that the Board has the appropriate guidance and resources for discharging their fiduciary duties. Serves as a key point of contact for member communication and engagement on corporate governance, elections, and other issues.

Manage staff in overseeing the Board and Committee election processes. Coordinate with staff from other departments and the Inspector of Elections regarding the preparation and distribution of proxy statements, election notices and ballots for various committee elections, and facilitate FINRA’s annual meeting process.

Monitor corporate governance trends and regulatory and legislative initiatives for impacts on FINRA. Assist in recommending and implementing strategies and in tailoring governance practices to achieve FINRA goals while complying with regulatory requirements and addressing the needs and expectations of various constituents.

Board Operations – Works with the DCS in managing all FINRA Board and committee meeting logistics. Stands in for the DCS at various FINRA Board and committee meetings. Attends and records minutes of FINRA Board and committee meetings ensuring that records and minutes of the Board's actions reflect the proper exercise of its fiduciary duties. Develops scripts, talking points and other reports for the committee chairs and regularly drafts memoranda and items for the Board’s consideration. Work with the DCS to facilitate the new Board member onboarding and orientation and to develop ongoing Board member training.

Department Management and Supervisory Responsibilities – Manage OCS staff in carrying out their day-to-day tasks including board kit production, board meeting support, and managing FINRA’s corporate elections. Makes quick, highly sensitive decisions about OCS work processes and work product. Continually monitor OCS processes and procedures to ensure the department is working at maximum efficiency. Identify process improvements, implementing changes when necessary. Oversee departmental records management and information privacy procedures.

Internal & External Coordination – The position requires extensive coordination with other departments within FINRA, including apprising CEO and senior staff of pertinent deadlines and governance requirements. Develop and maintain relationships with Board members, member firm representatives, and FINRA staff from various departments and help coordinate FINRA interaction with those individuals. Represent the department on projects and corporate initiatives requiring significant involvement and/or ownership by OCS. Serves on cross-departmental teams with staff from OGC and other FINRA departments on projects related to corporate governance changes, subsidiary management, and amending FINRA bylaws and governing documents when necessary.

Other Responsibilities:

· Oversees OCS corporate records management process ensuring records are properly maintained, including records of subsidiaries and affiliate entities.
· Applies advanced analytical skills to provide legal interpretations regarding laws, rules, and regulations in performance of the specific responsibilities set forth above. Advanced research, writing and editing skills.
· Oversee contracts with third-party vendors (i.e., inspectors of elections, background check vendors, board portal providers, and copy services).
· Other duties as required by management.


Education/Experience Requirements:

· Bachelor’s degree required. Relevant advanced degree (i.e., JD, MBA) preferred.
· Minimum of 8 years relevant experience.
· Management or supervisory experience required.
· Excellent editing, writing and oral communication skills, adaptive to and effective for different audiences.
· Highly organized, self-motivated and self-directed, with excellent attention to detail and project management capabilities.
· Excellent interpersonal skills and a demonstrated ability to build and maintain relationships with staff at all levels within an organization and with senior-level private sector representatives, among others.
· Working knowledge of corporate governance issues and trends, SRO rules, and federal securities laws preferred.

Working Conditions:

· Normal office conditions.
· Occasional travel and extended hours 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.

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