Description:
The Sr Vice President of Corporate Financing and Advertising Regulation is key member of the Office of the Chief Legal Officer's (OCLO) leadership team and is responsible for setting the strategic direction of their group. The function of these departments is primarily interpretive, with inherent policymaking outcomes; they also review filings in their program areas, including complex reviews of areas of concern, collaborate with other departments, and work closely with focused subject matter committees. Supervision of these departments involves policy decisions concerning these responsibilities, developing departmental strategy in accordance with corporate goals, representing A Private Corporation concerning these areas of responsibility, and working with other departments to ensure effective oversight of these program areas. Supervision of these departments also involves creative development of new regulatory initiatives based on knowledge of the program areas and active interaction with member participants in these areas; providing expert advice and counsel to the Chief Legal Officer on high-impact, legally and politically complex, and sensitive regulatory initiatives and rule changes; and serving as a subject matter expert including legal and policy expertise in the departments' program areas. Demonstrated ability to perform these functions with minimal or no supervision. Consistent exercise of superior judgment. Will have direct contact with senior management, including the Chief Executive Officer, and members of the Board of Governors.Essential Job Functions:
- Supervises the program operations of both offices.
- Develops policy making positions, rule making and interpretive positions in partnership with the Office of General Counsel (OGC).
- Advises the Chief Legal Officer and other senior A Private Corporation staff, members of the Board of Governors, and advisory committees with respect to high-impact, legally and politically complex and sensitive regulatory actions, initiatives, and rule changes.
- Serves as liaison or supervise the staff liaison to member committees, various subcommittees and ad hoc task forces.
- Oversees the complex review units of both departments.
- Takes a leadership role in solving complex and sensitive regulatory initiatives. Serve as the key source of legal expertise within A Private Corporation concerning advertising and corporate financing regulation and provide independent expert advice on questions in these subject areas.
- Oversees the preparation of committee and Board materials that contain sophisticated analyses and discussions of competing policy or political considerations necessary for the informed judgment of the issues by the advisory committees of the Board.
- Oversees the drafting of new rule proposals and proposed filings to the SEC in partnership with OGC.
- Devise sand presents original, creative, innovative, and sophisticated solutions and proposals for changes to existing rules, including the elimination or reduction of unnecessary regulation and the adoption of new rules.
- Manages public communication of regulatory proposals and legal interpretations to member firms, members of the bar, the media, and other interested parties. Attend and speak at regulatory policy public conferences and meetings of the standing committees of the Board.
Education/Experience Requirements:
- Law degree and a minimum of twelve (12) years of relevant legal experience
- Must be licensed to practice law in the state in which they will be working
- Advanced degree or formal certification that provides greater knowledge or specialization within the desired subject area preferred
- Highly developed expertise in a specialized area of knowledge that is central to the overall mission of the organization preferred
- Advanced skills in developing policy, in crafting rules and staff interpretations, in maintaining good member relations, and in managing a large staff
- Advanced and excellent written and verbal communication skills
- Advanced and excellent judgment and interpersonal skills
- Strong organizational skills and excellent attention to detail
