Regulatory Training Specialist - Member Supervision Training
- Rockville, MD
The Regulatory Training Specialist is responsible for assisting in the designing, developing, and delivering learning solutions to FINRA regulatory staff. This position will work with other training specialists in the Member Supervision Training Team in ensuring the department is delivering high-quality learning solutions.
Essential Job Functions:
- Assist in the design and delivery of learning solutions, in accordance with adult-learning principles, as identified through Member Supervision programs and priorities. Training offerings will be delivered via multiple methodologies (live in-classroom, live virtual presence, and asynchronous methods), and the Regulatory Training Specialist should be proficient in those methods.
- Participate in the design and delivery of training initiatives requiring solid business knowledge.
- Assist in the update and maintenance of established curriculum, as required and directed, ensuring it meets the current regulatory needs of FINRA staff.
- Ensure level of quality of delivered solutions by evaluating against industry best-practices and implementing improvements.
Participate in special projects, as identified and directed.
Other level-appropriate duties, as assigned.
Undergraduate degree, or higher, in a business field such as accounting, finance, training, organizational development, or the equivalent.
Minimum of three (3) years of directly related training industry experience is required.
Knowledge of securities industry rules, regulations, and guidelines and/or directly related securities industry experience preferred.
Competence using eLearning development tools (Articulate Storyline, Adobe Captivate, etc.) required.Â
Proficiency in Microsoft Office suite of applications.Â
Excellent communication and writing skills.
Work is normally performed in an office environment at FINRA.
Intermittent overnight travel may be required.
Extended hours are sometimes required.
Work environment includes high productivity expectations and tight deadlines.
To be considered for this position, please submit an application.
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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FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRAâ€™s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
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.
FINRAâ€™s Code of Conduct imposes restrictions on employeesâ€™ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Codeâ€™s investment and securities account restrictions, and new employees must comply with those investment restrictionsâ€"including disposing of any security issued by a company on FINRAâ€™s Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentâ€"by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
You can read more about these restrictions here.
As standard practice, employees must also execute FINRAâ€™s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companyâ€™s policy on nepotism.
Search Firm Representatives
Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.
FINRA is an Equal Opportunity and Affirmative Action Employer
All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the personâ€™s relatives, friends or associates.
FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.
FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.
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