Vice President - Finance Investments - Rockville MD, DC, New York, NY, Boston, Philadelphia

To Protect Investors. Join our Team.

The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Vice President opening in Rockville MD, Washington DC, New York NY, Boston MA and Philadelphia PA. To be considered for this position, please submit your resume through our career site at – no phone calls, please.

Job Summary:

In partnership with the CFAO and Investment Committee, leads the development and implementation of the FINRA’s investment strategy, including all activities associated with managing FINRA’s investment portfolios totaling over $2 billion. These activities include, but are not limited to oversight, due diligence, and associated operational tasks related to the overall portfolio, the FINRA Employees Retirement Plan (ERP), Supplemental Executive Retirement Plans (SERP), and the investments of the FINRA Investor Education Foundation. Maintains strong working relationships with the members of the Investment Committee, and manage the relationships with investment consultants and managers, custodial and other banks, and serves as the liaison between these partners and the Office of the CFAO. Specific knowledge and understanding of asset classes, investment products, and strategies for generating desirable returns is essential in carrying out the duties of this position. This role must stay abreast of trends and practices, in order to continuously explore and advise on new and innovative approaches to the investment process, in partnership with the CFAO, and the Investment Committee. Serves as the co-chair of the FINRA Pension/401(k) Plan Committee, in the capacity of fiduciary, recommending and supporting investment actions that are in the best interest of FINRA’s employees.

Essential Job Functions:

  • Serves as the subject matter expert for the organization, on all items associated with investments. In partnership with the Investment Committee, oversees investment portfolios in each organization’s and its members’ best interest.  Accomplished by leveraging their independent knowledge and expertise, balanced by advice and counsel of external investment consultants. 
  • Formulates and makes recommendations to the Investment Committee on investment policies, asset allocation, objectives and guidelines, risk, and the selection, retention, and dismissal of investment providers/managers.
  • Stay abreast of global macro and micro economic and political environments, in addition to investment trends and flows in capital markets to provide insight and perspective to Investment Committee discussions and asset allocation reviews, for use in decision-making. 
  • Leverage external relationships and other resources to maintain knowledge of public, private, and alternative investment markets.
  • Provide the Investment Committee ongoing insight into the investment landscape, emerging trends, and the impacts to portfolio investment performance. 
  • Reports on adherence to policies and guidelines by investment managers, and translates complex information for presentation to the Investment Committee and FINRA Foundation Board.


Other Responsibilities:

  • Develops and utilizes high-level analytics to assess outcomes, as well as evaluation of investment and fund managers.
  • Forecasts cash flow positions, related borrowing needs and funds available for investment. Manages the day-to-day treasury function to meet the financial obligations of FINRA, including the negotiation of credit facilities and selection of short-term investments.
  • Leads the development, implementation, negotiation, and execution of all legal documents related to investments.  Maintains a strong working relationship with, and serves as investment liaison to the Office of the General Counsel.
  • Liaison to the Oversight Liaison & Counsel Office, and Corporate Communications to address requests for information from the SEC, journalists, and other external parties.
  • Performs benchmarking studies and requests for proposals, and other special projects for the CEO, CFAO, and Committee Chairs, as needed.


Education/Experience Requirements:

  • Bachelor’s degree in Accounting, Finance, Economics, or other related field.
  • Graduate degree and/or Certified Financial Analyst (CFA) certification.
  • Minimum of ten years of experience in Corporate Treasury or Finance, with a demonstrated ability to manage functions associated with investment and fund administration.
  • Exceptional ability to interpret data, and effectively communicate results and recommendations to the most senior levels of the organization, including the Board of Governors.
  • Advanced understanding of capital markets and investment concepts.
  • Strong knowledge of public security and alternative investment markets.
  • Demonstrated ability to manage multiple complex priorities, and meet associated deadlines.
  • Proficient in the use of the MS Office Suite; emphasis on Excel.
  • Familiarity with investment/financial management software, desirable.
  • Excellent written and oral communication skills.

Working Conditions:

Normal office conditions, with occasional travel.

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