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FINRA

Senior Trainer, Regulatory Services & Ops

Rockville, MD

Develop formal training materials that are instructionally sound, well written, applicable, accurate, professional and consistent with department templates and guidelines. This includes participant and instructor guides, related class materials and administrative documentation as needed. Responsible for facilitating on various topics relevant to FINRA supported systems.

Essential Job Functions:

  • Coordinate both internal and external training session logistics, including internal staff training.
  • Coordinate training-related projects with respect to internal and external user testing, including participation in testing and documenting training related-issues.
  • Develop formal training materials, such as participant and instructor guides and class materials and documentation, which are instructionally sound, well written, applicable, accurate, professional and consistent with department templates and guidelines.
  • Facilitate training courses including in-person and virtual instruction on a variety of topics relative to FINRA supported systems.
  • Obtain and analyze various sources of data (direct observation, staff interviews, CRM cases and management feedback and survey results) to identify the development needs of the CRED Department.
  • Conduct and analyze training needs assessment to identify the training needs of the CRED staff through a formalized methodology.
  • Work with external services to develop required training materials as needed and internal subject matter experts (SMEs) to develop and facilitate training.
  • Support the integrity of firm operated systems by participating in the development of comprehensive training materials for all compliance and disclosure related functions.
  • Monitor and respond to CRM case inquiries.
  • Participate in the planning, development and implementation of a training program that promotes proficiency of registration systems to members nationwide through coordination with other units and groups.
  • Coordinate with internal and external constituents to disseminate information related to CRD and IARDsm system enhancements and training to members. Ensure the necessary resources for training (e.g., space, equipment, etc.) are available when required.
  • Define required developmental tools (training courses, mentoring programs, self-paced study programs, etc.) designed to meet identified needs.
  • Participate in the development of e-Learning courses for Web CRD users.

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Education & Experience Requirements:

  • Bachelor’s degree and four (4) years of securities licensing and registration experience, or equivalent combination of education and work experience.
  • Minimum two (2) years of experience conducting training, and designing and developing a variety of training materials is desirable.
  • Proficiency in written communication and project management.
  • Proficiency in Microsoft Office Suite.Â
  • Experience with the CRD and IARD systems, or registration compliance preferred.Â
  • Preferred skills: Microsoft Publisher, Visio, Snag It, Adobe Professional


Working Conditions:
  • Approximately 25% travel, or as needed

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.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.

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 FINRA’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.

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ 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 Code’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 FINRA’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 FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’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 person’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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Job ID: FINRA-R-002072
Employment Type: Other

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