Senior Manager, Capital Markets Policy - Washington D.C.

CFA Institute. in Washington, DC

  • Industry: Financial Services - Banking/Investment/Finance - Securities Broker
  • Type: Full Time
  • $72,460.00 - 146,660.00
position filled

Job Description Summary:

?This position is responsible for creating a comprehensive process for engaging on all relevant matters in the D.C environment related to our three advocacy principles. It would include a tracking system of legislative and regulatory developments relating to our federal securities law remit around investor protection, market transparency and fairness, corporate governance, market structure and practitioner regulation. This will include creating a tracking system and making recommendations on matters for possible CFA response and engagement. The position will also coordinate with the capital markets and financial reporting teams on broader AMER region policy matters and related outreach activities in the AMER region. The position supports the strategy and objectives of the Advocacy strategic function of CFA Institute.

The position will also be responsible for monitoring policymaker sites for new material, conducting policy research, drafting regulatory consultation responses, and writing papers and articles on issues deemed relevant to our advocacy principles and the investment management industry. The position will also be expected to engage with regulators, policy makers, and industry stakeholders, including CFA Institute members and societies, to promote CFA Institute capital markets policy positions, and support related public awareness activities to advocate for financial market integrity and investor protection.

The position will have responsibility to support local society advocacy initiatives in the AMER region as directed by the Head, Capital markets Policy AMER. This will include assistance in analyzing and assessing local society initiatives, drafting responses to regulatory and legislative consultations, and outreach guidance and accompanying societies in such outreach activities as needed.

The position will be based in Washington DC, and report to the Head, Capital Markets Policy AMER.

Job Description:


  • Create and maintain a regulatory / legislative initiative tracking system.
  • Conduct and help lead the regulatory and legislative consultation process.
  • Assess capital markets issues and draft consultation responses, policy research papers, and articles on such issues relevant to the investment management profession.
  • Support communications efforts of the advocacy function to update advocacy volunteers, CFA management, society advocacy engagement staff and others through regular updates, and through maintenance of the Advocacy web site.
  • Support the public awareness and content promotion activities around the advocacy messaging and content through social media support, blogs, media commentary, and related outreach events and activities surrounding the capital markets policy content.
  • Deliver presentations and speak at conferences and events involving regulators, industry stakeholders, and CFA societies to promote awareness and recognition of capital markets policy content and positions and advance the advocacy agenda in AMER.
  • Analyze and propose capital markets policy project ideas in accordance with CFA?s Litmus Test, conduct regionally relevant research on investment management issues, and develop well-articulated arguments and policy positions.
  • Develop promotional plans for policy content and support promotional activities to elevate the voice and raise public awareness of CFA Institute advocacy activities.
  • Develop relationships with key stakeholders including industry, think tanks, trade associations, and regulators in the region to exchange information and inform the policy debate.
  • Closely communicate and collaborate with societies under Societies 2.0 initiative to support local engagement on and delivery of the capital markets policy agenda.
  • Work with Heads of Capital Markets Policy in AMER, APAC, and EMEA to facilitate activities and annual and periodic meetings of the Capital Markets Policy Council, the United States Society Advocacy Advisory Committee (USSAAC), including preparation of meeting materials as needed.
  • Participate in volunteer committee meetings as directed.
  • Support the Capital Markets Team and PR staff on special projects and ?quick hit? topics as they surface.

  • Bachelor?s degree required, preferably related to finance, economics, or law.
  • Extensive knowledge and experience with the Washington DC regulatory process and legislative process.
  • Extensive knowledge and experience in investment management and financial services industry.
  • Work experience with a regulatory agency, congressional office, policy association or legislative lobbying firm a plus.
  • Extensive knowledge of markets and investment issues, with a focus on markets/trading regulation, investment practitioner rules and regulations, pensions and retail savers, investment management, risk management, and structured products.
  • Minimum 8 years of experience in the investment management industry, related financial services, or policy making.
  • CFA charter preferred.
  • Excellent written, presentation, and verbal communications skills including excellent persuasive writing skills. Comfortable presenting to large audiences.
  • Ability to collaborate, build strong relationships and influence among a broad range of senior business stakeholders.
  • Excellent consulting, problem-solving, and analytical skills.
  • Outstanding judgment and mature business skills with the ability to establish a strong rapport with senior industry practitioners and policy makers.
  • High level of organizational and time management skills and flexibility in competently juggling competing priorities and changing expectations.
  • Self-starter and highly motivated ? ability to work independently.
  • Fluency in English; multilingual would be useful.
  • Experience in project management, with skills necessary to interpret what is needed for the success of a project and to create appropriate schedules for timely delivery.

  • Energy to put in the hours of concentrated work necessary to achieve goals while maintaining a positive attitude

  • Travel will be approximately 20-25 percent of the time, including some global travel.

  • Strategic ? Connects ideas, resources and processes, with an outside-in perspective, to define winning solutions; employs a broad, global perspective and digital mindset to disrupt and transform
  • Courageous -- Actively listens, asks questions, develops an independent conclusion and is willing to challenge the popular view for the betterment of the organization
  • Authentic -- Reflects one?s true self in all situations; clearly says what they mean and does what they say they will do
  • Talent magnet -- Understands a candidate/employee?s capabilities and matches those to the appropriate role/assignment; seeks out diversity of thought and experience; invests in development; mentors and coaches for success; builds and rewards high functioning teams
  • Growth mindset -- Learns and grows through experimentation and failure; embraces challenges with persistence and resilience; demonstrates a willingness to risk failure and sees it as a key learning opportunity
  • Accountable -- Understands role and takes full ownership of their own, their team?s, and the organization?s success or failure; achieves efficient, timely, quality results through the effective leadership of others
  • Agile ? Navigates complexity, challenges and ambiguity with confidence; creates an environment of learning to drive optimal outcomes; employs a continuous improvement mindset; encourages rapid, flexible response to change
  • This job description is a summary of job requirements and duties and is not intended to be an exhaustive list of all areas of responsibility.

    Associated topics: broker dealer, brokerage, equity, fiduciary, financial, investor, nasdaq, purchase, securities broker, security

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