Independently lead CE content committees in the process of maintaining and/or increasing the quality of the CE program through the creation of new content and assessment activities and review of current content and assessment activities. Includes, but is not limited to, assisting in the assessment of needs for each CE program, analyzing assessment activity statistics, leading content committee meetings to review new and current content, and ensuring that new and revised content and assessment activities are entered into the CE authoring system. Periodically conduct review of the CE content outlines for accuracy and weighting, make appropriate changes, take necessary steps to receive SEC approval of changes and implement changes when approval is received. On an ongoing basis monitor for and evaluate the effect of rule changes, SEC mandates, new securities products and industry best practices and implement required changes to CE program content. Work closely with the Office of General Counsel and other FINRA departments on registration and qualification issues as these relate to CE. Assist with the design as well as execute committee agendas based on needs assessed for each CE program. Identify, organize and provide educational materials for content committee members, both seasoned and new, to produce high quality CE content and assessment activities. Liaise with regulatory organizations and industry groups to review the CE programs' content and requirements. Provide support in developing, enhancing and completing tasks and projects associated with CE Council quarterly meetings and special projects. Manage committee member participation, including recruiting new committee members, monitor performance of current committee members and when needed, recommend removal committee from committee for unsatisfactory performance. Provide technical insight and support for CE Department needs including support for the Council website, creating and enhancing tools (e.g. Authoring Tool) and assist with any technology initiatives.
Lead and assist with special projects assigned by management including future enhancements or changes relating to the CE programs. Coordinate and work with vendors in order to support CE business needs.
Bachelor's degree and five years or more experience in the securities industry, preferably in a regulatory, compliance or training capacity with a broker-dealer or the equivalent combination of education and experience. A thorough understanding of the job-related knowledge and skills required of registered persons with thorough knowledge of FINRA, SEC and other SRO rules and regulations is required.
Strong interpersonal skills with excellent communication skills (both oral and written) are essential to effectively manage relationships with a diverse group of clients/constituents with varying (often conflicting) interests.
Experience and success in project oversight and managing/ executing multi-phased, multi-year projects is highly desirable.
Must be proficient with all standard office software.
Standard office with travel as necessary (normally less than 20%). The ability to work under tight timelines across organizational boundaries.
To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.
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.
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In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.
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