Specialist, Corporate Governance

Corporate Governance Specialist

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 andinvestors. 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.