Specialist, Corporate Governance

Are you looking for purpose and meaning in your work? Does the idea of working for a regulator speak to your moral compass?

As a not-for-profit entity, FINRA operates under the oversight of the SEC and sits at the nexus of broker-dealers, policymakers and investors. Because of this structure, FINRA is uniquely positioned to stimulate vibrant markets that protect investors, ensure robust trading activity, foster liquidity, and support innovation and growth.

FINRA is hiring a Corporate Governance Specialist in our Washington, DC office.

The Specialist in the Office of Corporate Secretary’s (OCS) provides legal research, compliance reviews, and operational support in support of FINRA Board and committee governance and election processes. As a professional individual contributor operating under close supervision, this position applies substantial analytical expertise to ensure compliance with FINRA rules, by-laws, and regulatory requirements while continuously optimizing workflows to strengthen organizational governance.

Essential Job Functions:

• Conducts comprehensive legal and regulatory research, including on corporate governance practices and procedures, synthesizing complex findings into authoritative research summaries and policy recommendations in response to internal and external requests for information; drafts and proofreads all deliverables, ensuring documentation accuracy.
• Serves as an OCS liaison, driving the timely and accurate production and distribution of FINRA Board and committee materials while optimizing workflow efficiency and governance compliance.
• Maintains critical databases, tracking systems, and OCS SharePoint sites, that support governance and compliance reporting; continuously evaluates and enhances these systems to reduce risk and improve organizational performance.
• Assists with monitoring the Public Comment email box; indexing and distributing any comments received on Regulatory Notices to relevant staff; and reviewing and publishing such comments on FINRA.org.
• Conducts comprehensive compliance reviews of Board and committee composition, elections, and appointments to ensure compliance with applicable rules and requirements.
• Assists in the development and enhancement of department records management and information security plans in partnership with corporate stakeholders, ensuring compliance with all applicable policies and proactive risk mitigation.
• 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 minimum of three (3) years relevant experience; or an equivalent combination of education and directly related professional experience.
• Paralegal certificate or experience preferred.
• Fundamental knowledge of FINRA rules, by-laws, and federal securities laws and member firm operations highly desired.
• Proven ability to conduct comprehensive legal and regulatory research and synthesize complex findings into clear, accurate written summaries and policy recommendations.
• Strong project management and organizational skills with demonstrated ability to manage competing priorities under tight deadlines and coordinate timely production of Board and committee materials.
• Proficiency in database management and tracking systems; experience with CRD and FINRA Contact System preferred.
• Exceptional attention to detail with superior proofreading, editing, and analytical skills, ensuring accuracy and compliance in all documentation.
• Strong interpersonal and written communication skills with proven ability to work independently and collaboratively, handle sensitive information with discretion, and serve as an effective liaison across departments; proficiency in Microsoft Office suite (Excel, Access, PowerPoint, Word) required.

Working Conditions:

• Hybrid work environment, with defined in-person presence requirements, 3x week - Washington, DC.
• Some extended hours and travel required.

For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations.

CO/FL/TX: Minimum Salary $72,400, Maximum Salary $129,200

IL/PA: Minimum Salary $79,800, Maximum Salary $142,300

MA/MD/VA/Washington, DC: Minimum Salary $83,300, Maximum Salary $148,600

NY/NJ: Minimum Salary $83,300, Maximum Salary $155,100

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

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 www.finra.org/careers into your browser to reach our site directly.

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

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.

You can read more about these restrictions here.

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.

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 Employer

All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.

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 Employee Relations team at 240-386-4865 or by email at EmployeeRelations@FINRA.org. Please note that this process is exclusively for inquiries regarding accommodations in the application process.

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.

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