|
private:finra
|
finra.wd1.myworkdayjobs.com
|
finra.wd1.myworkdayjobs.com
|
Feb 28th, 2022 12:00AM
|
Director, Market Analysis Team, Market Regulation
|
Open
|
Financial Industry Regulatory Authority, Inc.
|
|
Rockville (Gira)
|
|
|
USA
|
Jan 29th, 2022 12:00AM
|
|
<p style="text-align:inherit"></p><p style="text-align:inherit"></p>A senior managerial position within the Quality of Markets Section of Market Regulation that is responsible for supervision of several team and their overall processes. The Director will actively support the Senior Director and the Vice President. Oversee that reviews and investigations for assigned areas are planned assigned and completed in a timely manner. Independently manage routine and complex investigations conducted by the teams. Plan and coordinate staff activities to ensure consistency of work process and work product, promote best practices, and the efficient flow of work and information among staff and other Market Regulation Department personnel.<p style="text-align:inherit"></p><p style="text-align:inherit"></p><p><b>Essential Job Functions:</b></p><p></p><p><span>The Director is primarily responsible for the leadership, direction and the management of assigned teams. The Director specifically performs the following functions:</span></p><ul><li><span>Review and provide second level supervisory sign-off on all case disposition memoranda, included recommendations for enforcement actions, prepared by analytical staff. Ensure all recommendations are well-supported by investigative record and that the memoranda address all relevant rules reviewed during investigation. Provide support to direct reports in the more complex investigative matters to ensure the on-the-record depositions successfully develop the investigative record. Participate in the depositions as needed. </span></li><li><span>Plan and coordinate staff activities to ensure that qualitative and quantitative objectives of the teams are met. </span></li><li><span>Regularly meet with Managers and analysts to review progress of reviews and investigations, provide direction concerning future initiatives, and share information and provide feedback. Work collaboratively with other Directors to ensure consistent application of procedures. </span></li><li><span>Regularly meet with the Senior Director and Vice President to provide periodic progress reports concerning the development and completion of reviews and investigations and recommendations for disciplinary actions and sanctions. </span></li><li><span>Regularly meet with FINRA Technology regarding the development and deployment of automated surveillance. Responsible for recommending revisions to business requirements documents for existing surveillance patterns and reviewing requirements documents for new surveillance patterns. Complete User Acceptance Testing (UAT) for surveillance patterns and report findings to Senior Director. Identify regulatory and industry issues impacting surveillance patterns and develop plans or recommendations to address such issues. </span></li><li><span>Maintain a high level of competency and expertise in the rules of the SEC, FINRA, and MSRB regarding assigned area of expertise. </span></li><li><span>Participate in the FINRA regulatory specialist program and serve as a resource for other Departments within FINRA in matters involving fixed income products. </span></li><li><span>Research and identify cost savings and operational efficiencies in assigned program. Report recommendations and implement changes under guidance of Senior Director. </span></li><li><span>Work with other Directors to develop and update written procedures for their Teams. Responsible for the ongoing assessment of the effectiveness of the procedures. </span></li><li><span>Establish and maintain effective informal and formal communication processes for Team personnel. </span></li><li><span>Regularly represent the Section both internally and externally.</span></li></ul><p><span></span></p><p style="text-align:inherit"></p><p style="text-align:inherit"></p><p><b>Other Responsibilities:</b></p><ul><li>Provide leadership and direction to ensure that objectives are met.</li><li>Regularly meet with immediate subordinates to discuss performance related and employee satisfaction issues. Assess goal accomplishment and evaluate staff performance.</li><li>Ensure adequate training and development of personnel.</li><li>Handle administrative and personnel functions for staff.</li><li>Perform special projects at the direction of the Senior Director.</li></ul><p></p><p><b>Education/Experience Requirements:</b></p><ul><li>Four (4) year college degree in Business/Finance or equivalent with course work in investments, finance and accounting. Eight to ten years of experience in the securities industry or related field, with extensive working knowledge of the Securities Exchange Act of 1934, in general, and the rules applicable in the fixed income market, in particular with exposure to trading issues, securities processing, clearance and trading practices and knowledge of related relevant rules and regulations enforced by FINRA. Familiarity with software applications and automated systems. At least 4-6 years supervisory experience as well as exposure to personnel related issues. Skilled in the preparation of clear and concise reports and memoranda. Excellent communication and interpersonal skills, as well as excellent research skills. Demonstrated strong oral and written ability. Advance time-management and prioritization and interpersonal skills required. Demonstrated ability to oversee comprehensive reviews and investigations for potential securities laws violations.</li></ul><p></p><p><b>Work Conditions:</b></p><ul><li>Normal office environment located in Rockville, Maryland. Work outside of business hours and some travel may be required.</li></ul><p></p><p><b>To be considered for this position, please submit an application. </b></p><p></p><p><i>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.</i></p><p></p><p><i><b>Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter <span><span><span><span><span><span><span><span><span><span><span>www.finra.org/careers</span></span></span></span></span></span></span></span></span></span></span> into your browser to reach our site directly.</b></i></p><p></p><p>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.</p><p></p><p><span>Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.</span></p><p></p><p><u><b>Important Information</b></u></p><p></p><p>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. <b>All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment <span><span><span><span><span><span><span><span><span><span><span>restrictions—including</span></span></span></span></span></span></span></span></span></span></span> disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—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.</b></p><p></p><p>You can read more about these restrictions <a href="https://finra.org/careers/investment-and-securities-account-restrictions-under-finras-code-conduct" target="_blank">here</a>.</p><p></p><p>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.</p><p></p><p><u><b>Search Firm Representatives</b></u></p><p></p><p>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.</p><p></p><p><i><b>FINRA is an Equal Opportunity and Affirmative Action Employer</b></i></p><p></p><p>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.</p><p></p><p>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.</p><p></p><p>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.</p><p></p><p>©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.</p>
|
|
|
|
|
Feb 28th, 2022 10:10AM
|
Feb 28th, 2022 10:10AM
|
FINRA
|
|
Financial Services
|
|
private:finra
|
finra.wd1.myworkdayjobs.com
|
finra.wd1.myworkdayjobs.com
|
Feb 28th, 2022 12:00AM
|
Principal Counsel, Regulatory - Any FINRA Location
|
Open
|
Financial Industry Regulatory Authority, Inc.
|
|
Washington, DC
|
|
|
USA
|
Jan 29th, 2022 12:00AM
|
|
<p style="text-align:inherit"></p><p style="text-align:inherit"></p>Render legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject matter resource in one or more areas of legal expertise.<br><br>This is experienced-level professional work in which incumbents are defining their assigned roles, increasing their skills, and working with other experienced attorneys.<p style="text-align:inherit"></p><p style="text-align:inherit"></p><p><b>Essential Job Functions:</b></p><ul><li>Provide interpretative advice to the Board of Governors and FINRA advisory committees with respect to regulatory initiatives and rule changes under consideration by the Board.</li><li>Assist in briefing and communicating regulatory initiatives to senior executives of FINRA. Must be able to provide such analysis under urgent deadlines.</li><li>Serve as a source of legal expertise within FINRA in subject areas, including dispute resolution, and provide advice on questions in these subject areas.</li><li>Prepare Board materials that contain sophisticated analyses and discussions of competing policy or political considerations necessary for the informed judgment of the issues by the Board.</li><li>Review and draft new rule proposals, with increased independence; gather and incorporate views of industry participants, other regulators, and senior staff; and prepare rule filings to the SEC.</li><li>Work with Dispute Resolution Services with respect to arbitration-related interpretive issues, regulatory initiatives and proposed rule changes.</li><li>Work with the Office of the Chief Economist in conducting economic impact assessments of rulemakings.</li><li>Together with senior-level OGC attorneys, meet with senior staff of SEC, industry groups and other interested parties concerning regulatory initiatives.</li><li>May represent FINRA before industry groups.</li><li>Prepare Regulatory Notices, rule guidance and other correspondence with member firms and their outside counsel.</li><li>Demonstrate increased proficiency in conducting legal and other research into matters of regulatory policy as necessary to (1) develop rule proposals and to respond to internal and external comments, and (2) respond to interpretive and exemptive requests.</li><li>Together with senior-level OGC attorneys, identify and present original, creative, innovative and sophisticated solutions and proposals for changes to existing rules, including the elimination or reduction of unnecessary regulation and the adoption of new rules.</li><li>May serve as liaison to FINRA advisory committees as assigned.</li><li>Keep abreast of and analyze SEC, industry and other self-regulatory organization initiatives, and develop and maintain strong working relationships with SEC staff and other regulators.</li><li>Attend and speak at regulatory policy public conferences and meetings of FINRA advisory committees on areas of subject matter expertise.</li></ul><p style="text-align:inherit"></p><p style="text-align:inherit"></p><p><b>Other Responsibilities:</b></p><ul><li>Participate in ad hoc special projects and initiatives as requested.</li><li>Provide status reports of assigned matters or projects.</li><li>Develop communications as needed for Chief Legal Officer and other senior management.</li><li>Provide and implement suggestions to increase efficiency and effectiveness of office procedures.</li></ul><p></p><p><b>Education/Experience Requirements:</b></p><ul><li>Law degree from an accredited law school, admission to a bar, and a minimum of 4-6 years of directly related legal experience.</li><li>Advanced working knowledge of laws, rules, and regulations governing the securities industry.</li><li>Strong organizational skills. Excellent oral and written communication skills.</li><li>Excellent judgment, analytical, and interpersonal skills.</li></ul><p></p><p><b>Work Conditions:</b></p><ul><li>Normal office conditions. Occasional travel and extended hours may be required.</li></ul><p></p><p></p><p></p><p></p><p><b>Compensation Range for Colorado locations</b></p>Annual Salary: $98,500.00 - $178,700.00<p></p><p></p><p><b>To be considered for this position, please submit an application. </b></p><p></p><p><i>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.</i></p><p></p><p><i><b>Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter <span><span><span><span><span><span><span><span><span><span><span>www.finra.org/careers</span></span></span></span></span></span></span></span></span></span></span> into your browser to reach our site directly.</b></i></p><p></p><p>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.</p><p></p><p><span>Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.</span></p><p></p><p><u><b>Important Information</b></u></p><p></p><p>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. <b>All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment <span><span><span><span><span><span><span><span><span><span><span>restrictions—including</span></span></span></span></span></span></span></span></span></span></span> disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—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.</b></p><p></p><p>You can read more about these restrictions <a href="https://finra.org/careers/investment-and-securities-account-restrictions-under-finras-code-conduct" target="_blank">here</a>.</p><p></p><p>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.</p><p></p><p><u><b>Search Firm Representatives</b></u></p><p></p><p>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.</p><p></p><p><i><b>FINRA is an Equal Opportunity and Affirmative Action Employer</b></i></p><p></p><p>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.</p><p></p><p>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.</p><p></p><p>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.</p><p></p><p>©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.</p>
|
|
|
|
|
Feb 28th, 2022 10:10AM
|
Feb 28th, 2022 10:10AM
|
FINRA
|
|
Financial Services
|
|
private:finra
|
finra.wd1.myworkdayjobs.com
|
finra.wd1.myworkdayjobs.com
|
Feb 28th, 2022 12:00AM
|
Senior Principal Analyst, Risk Monitoring
|
Open
|
Financial Industry Regulatory Authority, Inc.
|
|
NYC (Brookfield Place)
|
|
|
USA
|
Jan 29th, 2022 12:00AM
|
|
<p style="text-align:inherit"></p><p style="text-align:inherit"></p>Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director, with emphasis on lead role for FINRA's highest impact, highest risk, and/or complex firms.<p style="text-align:inherit"></p><p style="text-align:inherit"></p><p><b><u>Essential Job Functions:</u></b></p><ul><li>This is the most senior-level position reporting to a Risk Monitoring Director and supports both the Risk Monitoring Director and Single Point of Accountability in identifying existing and emerging risks, and interactions with internal and external parties.<span> </span>Although not a direct manager of staff, this position provides leadership to risk monitoring execution based on experience and technical proficiency.</li><li>Conducts, as well as collaborates and leads risk monitoring activities for FINRA's highest impact, highest risk, and/or complex firms with no guidance and minimal supervision of a Risk Monitoring Director.</li><li>Collaborates with internal departments on a continuous basis to analyze, communicate and make recommendations with respect to regulatory intelligence unique to FINRA's highest impact, highest risk, and/or complex firms.<span> </span></li><li>Based on technical proficiency, proactively and continuously shares expertise by mentoring, coaching, training, developing, and acting as a resource to more junior level risk monitoring staff.<span> </span></li><li>Leads special projects including but not limited to, internal and external requests for intelligence within a Firm Grouping in response to market and industry events (e.g., Brexit, emerging product risks, trading volatility, rule development, cyber incidents, etc.)<span> </span></li><li>Consistently demonstrates innovation by raising important issues to Risk Monitoring Director that may lead to special initiatives at a National and Firm Group level.<span> </span></li><li>Serve as a proxy for Risk Monitoring Directors in meetings on firms or examinations.<span> </span></li><li><span> </span>Responsible for conveying risk in communications with external regulators (e.g., Federal Reserve, DTCC, OCC, SEC, NFA, CFTC, etc.) that are stakeholders unique to FINRA's largest impact, highest risk, and/or complex firms.<span> </span></li></ul><p style="text-align:inherit"></p><p style="text-align:inherit"></p><p><b><u>Education/Experience Requirements</u></b></p><ul><li>Bachelor's Degree in Finance, Accounting, Business or related field(s), graduate degree (MBA or JD) and/or relevant industry certification(s) preferred.</li><li>Prior experience in FINRA's Exam and/or Risk Monitoring program preferred, demonstrated advanced analytical skills and experience in the financial industry, absorbing/processing regulatory developments and applying them to complex business models.</li><li>Demonstrated experience relating to all inherent industry risks (i.e., Operational, Sales Practice, Fraud and Deception, Money Laundering, Accuracy of Regulatory Capital, Credit, Market, Liquidity, and/or Segregation of Client Assets).</li></ul><p></p><p><u><b>Knowledge Requirements</b></u></p><ul><li>Advanced-to-Expert knowledge of FINRA's nine risk fundamentals.</li><li>Advanced-to-Expert knowledge of securities rules and regulations.</li><li>Advanced knowledge of firm business models, business lines, customer bases, products and services.</li><li><span>Intermediate-to-Advanced</span> knowledge of U.S. GAAP accounting standards.</li></ul><p><u><b>Skill Requirements</b></u></p><ul><li>Proactively engage and work effectively with senior business management, across departments, and with staff in multiple locations, including partnering and collaborating with various internal departments for the identification and trending of industry and business model risks for summation and reporting to senior management.</li><li>Advanced written and verbal communication, financial analysis, and research skills.</li><li>Self-starter and able to administer very complex assignments concurrently, including unstructured assignments that require autonomy and independent judgment.</li><li>Advanced_ to - Expert ability to analyze internal and external data to assess inherent risks of member firms and develop regulatory responses to address higher risk areas.</li><li>Be proactive & solutions-oriented; innovative; collaborative and energized by the open exchange of ideas.</li><li><span>Intermediate-to-Advanced</span> level proficiency in Microsoft Excel and Microsoft Word.</li><li>Advanced - to- Expert quantitative, analytical, problem solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.</li></ul><p></p><p></p><p><b>Compensation Range for Colorado locations</b></p>Annual Salary: $98,500.00 - $178,700.00<p></p><p></p><p><b>To be considered for this position, please submit an application. </b></p><p></p><p><i>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.</i></p><p></p><p><i><b>Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter <span><span><span><span><span><span><span><span><span><span><span>www.finra.org/careers</span></span></span></span></span></span></span></span></span></span></span> into your browser to reach our site directly.</b></i></p><p></p><p>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.</p><p></p><p><span>Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.</span></p><p></p><p><u><b>Important Information</b></u></p><p></p><p>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. <b>All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment <span><span><span><span><span><span><span><span><span><span><span>restrictions—including</span></span></span></span></span></span></span></span></span></span></span> disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—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.</b></p><p></p><p>You can read more about these restrictions <a href="https://finra.org/careers/investment-and-securities-account-restrictions-under-finras-code-conduct" target="_blank">here</a>.</p><p></p><p>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.</p><p></p><p><u><b>Search Firm Representatives</b></u></p><p></p><p>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.</p><p></p><p><i><b>FINRA is an Equal Opportunity and Affirmative Action Employer</b></i></p><p></p><p>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.</p><p></p><p>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.</p><p></p><p>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.</p><p></p><p>©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.</p>
|
|
|
|
|
Feb 28th, 2022 10:10AM
|
Feb 28th, 2022 10:10AM
|
FINRA
|
|
Financial Services
|
|
private:finra
|
finra.wd1.myworkdayjobs.com
|
finra.wd1.myworkdayjobs.com
|
Feb 28th, 2022 12:00AM
|
Associate Principal Analyst, Office of Chief Economist
|
Open
|
Financial Industry Regulatory Authority, Inc.
|
|
Washington, DC
|
|
|
USA
|
Jan 29th, 2022 12:00AM
|
|
<p style="text-align:inherit"></p><p style="text-align:inherit"></p>The Analyst applies analytical and communication skills to conduct and coordinate the handling of various requests for review and economic impact assessment (EIA) of FINRA rulemaking at all phases of the process. The incumbent will assist, with minimal supervision, the Chief Economist and OCE staff in order to assure the timely review and completion of the EIAs associated with FINRA rulemaking. The Analyst will be expected to identify, research and analyze economic matters, and is responsible for drafting economic impact assessments and other materials in support of the work of the Office.<p style="text-align:inherit"></p><p style="text-align:inherit"></p><p><b>Essential Job Functions: </b></p><ul><li><span>Serves as the point of contact and initial reviewer of all requests for economic impact assessment of FINRA rulemaking. Independently evaluates materials to determine the complexity of the economic issues and presents the results of this research including interpretations, findings, and recommendations.</span></li><li><span>Ensures that all FINRA rules are assigned on a timely basis to OCE staff for analysis.</span></li><li><span>Conducts independent economic impact assessments of FINRA rules, including analyzing the need for regulatory action and potential impacts, collecting and analyzing data in support of the analysis where necessary and drafting the analysis for inclusion in internal communications, Regulatory Notices and rule filings.</span></li><li><span>Serves as the Office lead on the development of policies and procedures for conducting EIA,</span></li><li><span>Responsible for coordinating and tracking all rulemaking support of the Office, including coordination with the Office of the General Counsel and other FINRA staff to ensure appropriate prioritization of the rulemaking support of the Office.</span></li><li><span>Conducts independent research regarding the evaluation of economic impacts of regulation, including best practices, trends and other assignments at the direction of the Chief Economist</span></li><li><span>Participates in meetings with government agencies and other FINRA departments.</span></li><li><span>Supports OCE economists with any other matters, special projects and initiatives relative to FINRA business.</span></li><li><span>Supports the culture within FINRA of full cooperation with the SEC, and of providing full and accurate responses to regulatory requests.</span></li></ul><p style="text-align:inherit"></p><p style="text-align:inherit"></p><p><b>Other Responsibilities</b></p><ul><li>This position entails high visibility representation of OCE within FINRA, including internal communications with all FINRA Departments.</li></ul><p></p><p><b>Education & Experience</b></p><ul><li>Bachelor’s Degree in economics, finance, or related discipline required; Advanced Degree preferred.</li><li>A minimum of three (3) years of professional experience (or equivalent academic background, e.g., J.D, MBA, or Masters’ Degree in economics, finance or related area) at FINRA or another SRO, the SEC, in the economics of regulation, is required.</li><li>Competence working with the full suite of Microsoft Office applications</li><li>Strong oral and written communication skills</li><li>Strong judgment and interpersonal skills</li><li>Strong organizational and analytical skills</li><li>Possess strong research skills</li><li>Excellent team and interpersonal skills</li><li>Must have good independent judgment and credibility in all communications.</li></ul><p></p><p><b>Work Conditions</b></p><ul><li>Normal office conditions. Extended hours may be required.</li></ul><p><b>To be considered for this position, please submit an application. </b></p><p></p><p><i>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.</i></p><p></p><p><i><b>Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter <span><span><span><span><span><span><span><span><span><span><span>www.finra.org/careers</span></span></span></span></span></span></span></span></span></span></span> into your browser to reach our site directly.</b></i></p><p></p><p>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.</p><p></p><p><span>Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.</span></p><p></p><p><u><b>Important Information</b></u></p><p></p><p>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. <b>All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment <span><span><span><span><span><span><span><span><span><span><span>restrictions—including</span></span></span></span></span></span></span></span></span></span></span> disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—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.</b></p><p></p><p>You can read more about these restrictions <a href="https://finra.org/careers/investment-and-securities-account-restrictions-under-finras-code-conduct" target="_blank">here</a>.</p><p></p><p>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.</p><p></p><p><u><b>Search Firm Representatives</b></u></p><p></p><p>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.</p><p></p><p><i><b>FINRA is an Equal Opportunity and Affirmative Action Employer</b></i></p><p></p><p>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.</p><p></p><p>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.</p><p></p><p>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.</p><p></p><p>©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.</p>
|
|
|
|
|
Feb 28th, 2022 10:10AM
|
Feb 28th, 2022 10:10AM
|
FINRA
|
|
Financial Services
|
|
private:finra
|
finra.wd1.myworkdayjobs.com
|
finra.wd1.myworkdayjobs.com
|
Feb 28th, 2022 12:00AM
|
Associate Director, Human Resources Employee Services Center
|
Open
|
Financial Industry Regulatory Authority, Inc.
|
|
Rockville (Gira)
|
|
|
USA
|
Jan 29th, 2022 12:00AM
|
|
<p style="text-align:inherit"></p><p style="text-align:inherit"></p>The Associate Director, Human Resources Employee Services Center leads the team responsible for providing centralized services and program support to the various Centers of Excellence (COEs) in a range of activities and is instrumental in enhancing the employee experience throughout the employment lifecycle. They are required to exercise a high degree of independent judgment and decision making, which could have significant organizational impact. Of utmost importance is their ability to build and strengthen relationships at all levels of the business and work collaboratively in determining solutions to complex business issues.<p style="text-align:inherit"></p><p style="text-align:inherit"></p><p><b>Essential Job Functions: </b></p><p></p><p><b>Functional Management</b></p><ul><li>Manages the HR service center operations. <span>Develops and implements operational policies and procedures including work intake, governance, and service levels. Ensures applicable audits and control processes are developed and followed in compliance with regulations and internal policies and procedures.</span></li><li>Leads the design and execution of major programs within the function, ensuring that program elements align to the strategic priorities of the business and are aligned with the requisite policies and procedures of the organization as well as any applicable legislation and <span>areas </span>of compliance.</li><li>Manages individuals or serves as the project team lead on various high impact programs and initiatives. Teams are often <span>cross- </span>functional, and the programs and initiatives serve and/or impact a significant subset of, if not the entire employee population.</li><li>Establishes performance standards and metrics by which initiatives and programs should be measured to determine quality, <span>employee </span>impact, ROI, and overall team performance as it relates to client satisfaction.</li><li>Serves as an active member for setting short- and long-term strategic direction for Employee and Managing Advising working as a member of, or <span>in </span>partnership with the senior HR leadership team.</li><li>Stays abreast of industry trends and activities through external networks and education to assess the viability of leveraging alternative ways of improving the function.</li><li>Advise and guide team members on system capabilities with respect to data, metrics, and/or system functionalities and processes.</li></ul><p></p><p><b>Relationship Management</b></p><ul><li>Develops and maintains effective working relationships with all levels of management to gain in-depth knowledge of the business, which will provide insight into the design and implementation of programs.</li><li>Aligns HR and functional strategy to the goals and objectives of the business and assesses the alignment through working with <span>key </span>stakeholders within the business.</li><li>Collaborates with multiple functional areas within HR to align priorities and resources to ensure that goals and objectives across <span>the </span>team are met.</li><li>Partners with teams outside of HR leveraging <span>their </span>expertise to ensure the effective design, development, and execution of programs and initiatives.</li><li>Manages or coordinates external vendors to ensure the optimal use of company resources through the proposal and selection process, <span>in </span>addition to the ongoing assessment that performance and quality standards are being met</li></ul><p style="text-align:inherit"></p><p style="text-align:inherit"></p><p><b>Education/Experience Requirements:</b></p><ul><li>Bachelor’s degree with a minimum of seven years relevant experience</li><li>Experience managing people or cross-functional teams</li><li>Thorough knowledge of relevant federal, state, and city employment laws. Complete understanding of employee trends and practices in successful growth organizations.</li><li>Technically proficient in HR areas including: Compensation, Organizational Development & Training, Employee Relations, Benefits, and Recruitment</li><li>Experience in the financial services or securities industry, a plus.</li><li>In-depth project management skills</li><li>Strong quantitative and qualitative analytical skills</li><li>Proven ability to collaborate and influence to achieve outcomes</li><li>Experience working with the level of Vice President and above</li><li>Strong written and oral communication skills</li><li>Effective presentation skills</li><li>Advanced degree or relevant certification, such as PHR/CP/SPHR/SCP is desirable</li></ul><p></p><p><b>Work Conditions:</b></p><ul><li>Normal office conditions. Extended hours and travel may be required.</li></ul><p></p><p><i>Any offer of employment is contingent on providing proof of Covid-19 vaccination prior to your start date, subject to approved medical and/or religious exemptions, in accordance with applicable law. </i></p><p><b>To be considered for this position, please submit an application. </b></p><p></p><p><i>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.</i></p><p></p><p><i><b>Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter <span><span><span><span><span><span><span><span><span><span><span>www.finra.org/careers</span></span></span></span></span></span></span></span></span></span></span> into your browser to reach our site directly.</b></i></p><p></p><p>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.</p><p></p><p><span>Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.</span></p><p></p><p><u><b>Important Information</b></u></p><p></p><p>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. <b>All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment <span><span><span><span><span><span><span><span><span><span><span>restrictions—including</span></span></span></span></span></span></span></span></span></span></span> disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—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.</b></p><p></p><p>You can read more about these restrictions <a href="https://finra.org/careers/investment-and-securities-account-restrictions-under-finras-code-conduct" target="_blank">here</a>.</p><p></p><p>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.</p><p></p><p><u><b>Search Firm Representatives</b></u></p><p></p><p>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.</p><p></p><p><i><b>FINRA is an Equal Opportunity and Affirmative Action Employer</b></i></p><p></p><p>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.</p><p></p><p>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.</p><p></p><p>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.</p><p></p><p>©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.</p>
|
|
|
|
|
Feb 28th, 2022 10:10AM
|
Feb 28th, 2022 10:10AM
|
FINRA
|
|
Financial Services
|
|
private:finra
|
finra.wd1.myworkdayjobs.com
|
finra.wd1.myworkdayjobs.com
|
Feb 28th, 2022 12:00AM
|
Associate Director, Human Resources Technology
|
Open
|
Financial Industry Regulatory Authority, Inc.
|
|
Rockville (Gira)
|
|
|
USA
|
Jan 29th, 2022 12:00AM
|
|
<p style="text-align:inherit"></p><p style="text-align:inherit"></p>The Associate Director, Human Resources Technology is responsible for managing the day-to-day operations for HR Technology. This would include developing, recommending, and executing on strategic business plans for HR Technology, and managing or assisting with managing team resources (people and financial). They are required to exercise a high degree of independent judgment and decision making, which could have significant organizational impact. Of utmost importance is their ability to build and strengthen relationships at all levels of the business and work collaboratively in determining solutions to complex business issues.<p style="text-align:inherit"></p><p style="text-align:inherit"></p><p><b>Essential Job Functions: </b></p><p></p><div><div><div><div><p><b>Functional Management</b></p><ul><li>Leads the design and execution of major programs within HR Technology, ensuring that program elements align to the strategic priorities of the business and are aligned with the requisite policies and procedures of the organization as well as any applicable legislation and <span>areas </span>of compliance.</li><li><span>Serves as an expert within the Human Resources department on information systems. Provides advice and counsel to colleagues on the effective use of those systems and provides strategic direction and support on the design, implementation and evaluation of optimal employee services and solutions.</span></li><li>Possesses overall accountability for data integrity including quality, accuracy, timeliness, and usability. Ensures data infrastructure supports future growth and integration of data for analytical insights.</li><li>Works closely with Intelligence team on the partnership with Technology, contributing to a collaborative relationship between the groups, and ensuring technology needs are met.</li><li>Completes Quarterly Access Certification.</li><li>Maintains People Solutions department Information Privacy & Protection guidelines in collaboration with FINRA’s Data Privacy and Protection team.</li><li>Respond to People Solutions loss reports and serves as liaison to help implement mitigation tactics.</li><li>Serves as Access Manager for People Solutions.</li><li>Manages individuals or serves as the project team lead on various high impact programs and initiatives. Teams are often <span>cross- </span>functional, and the programs and initiatives serve and/or impact a significant subset of, if not the entire employee population.</li><li>Establishes performance standards and metrics by which initiatives and programs should be measured to determine quality, <span>employee </span>impact, ROI, and overall team performance as it relates to client satisfaction.</li><li>Serves as an active member for setting short- and long-term strategic direction for HR Technology working as a member of, or <span>in </span>partnership with the senior HR leadership team.</li><li>Stays abreast of industry trends and activities through external networks and education to assess the viability of leveraging alternative ways of improving the function.</li><li>Advise and guide team members on system capabilities with respect to data, metrics, and/or system functionalities and processes.</li></ul><p></p><ul><li><b>Relationship Management</b></li></ul><ul><li>Develops and maintains effective working relationships with all levels of management to gain in-depth knowledge of the business, which will provide insight into the design and implementation of programs.</li><li>Aligns HR and functional strategy to the goals and objectives of the business and assesses the alignment through working with <span>key </span>stakeholders within the business.</li><li>Collaborates with multiple functional areas within HR to align priorities and resources to ensure that goals and objectives across <span>the </span>team are met.</li><li>Partners with teams outside of HR leveraging <span>their </span>expertise to ensure the effective design, development, and execution of programs and initiatives.</li><li>Manages or coordinates external vendors to ensure the optimal use of company resources through the proposal and selection process, <span>in </span>addition to the ongoing assessment that performance and quality standards are being met.</li></ul></div></div></div></div><p style="text-align:inherit"></p><p style="text-align:inherit"></p><p><b>Education/Experience Requirements:</b></p><ul><li>Bachelors degree with a minimum of seven years relevant experience</li><li>Experience managing people or cross-functional teams</li><li>In-depth project management skills</li><li>Strong quantitative and qualitative analytical skills</li><li>Proven ability to collaborate and influence to achieve outcomes</li><li>Experience working with the level of Vice President and above</li><li>Experience with Workday, Kainos, JIRA, Microsoft Dynamics, or Genesys preferred</li><li>Strong written and oral communication skills</li><li>Effective presentation skills</li><li>Advanced degree or relevant certification desirable.</li></ul><p></p><p><b>Work Conditions:</b></p><ul><li>Normal office conditions. Extended hours and travel may be required.</li></ul><p></p><p></p><p><b>To be considered for this position, please submit an application. </b></p><p></p><p><i>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.</i></p><p></p><p><i><b>Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter <span><span><span><span><span><span><span><span><span><span><span>www.finra.org/careers</span></span></span></span></span></span></span></span></span></span></span> into your browser to reach our site directly.</b></i></p><p></p><p>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.</p><p></p><p><span>Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.</span></p><p></p><p><u><b>Important Information</b></u></p><p></p><p>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. <b>All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment <span><span><span><span><span><span><span><span><span><span><span>restrictions—including</span></span></span></span></span></span></span></span></span></span></span> disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—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.</b></p><p></p><p>You can read more about these restrictions <a href="https://finra.org/careers/investment-and-securities-account-restrictions-under-finras-code-conduct" target="_blank">here</a>.</p><p></p><p>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.</p><p></p><p><u><b>Search Firm Representatives</b></u></p><p></p><p>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.</p><p></p><p><i><b>FINRA is an Equal Opportunity and Affirmative Action Employer</b></i></p><p></p><p>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.</p><p></p><p>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.</p><p></p><p>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.</p><p></p><p>©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.</p>
|
|
|
|
|
Feb 28th, 2022 10:10AM
|
Feb 28th, 2022 10:10AM
|
FINRA
|
|
Financial Services
|
|
private:finra
|
finra.wd1.myworkdayjobs.com
|
finra.wd1.myworkdayjobs.com
|
Feb 28th, 2022 12:00AM
|
Counsel, Enforcement
|
Open
|
Financial Industry Regulatory Authority, Inc.
|
|
NYC (Brookfield Place)
|
|
|
USA
|
Jan 29th, 2022 12:00AM
|
|
<p style="text-align:inherit"></p><p style="text-align:inherit"></p>The Enforcement Counsel resolves non-complex Enforcement matters, and contributes meaningful high quality work for large complex matters.<p style="text-align:inherit"></p><p style="text-align:inherit"></p><p><b>Essential Job Functions:</b></p><ul><li>Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy<p></p><ul><li>Execute an effective risk-based legal strategy to assess the record fairly</li><li>Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case</li><li>Identify potential risks, defenses, individual liability and Principal Considerations</li><li>Effectively negotiate settlements, demonstrating knowledge of the record, and familiarity with the law and potential defenses</li><li>Contribute meaningfully to settlement negotiations and discussions with respondents, demonstrating knowledge of the record and familiarity with the law and potential defenses</li><li>Contribute meaningfully to internal discussions regarding legal strategy, demonstrating an understanding of the factual record and legal framework</li><li>Assist in litigation preparation and contribute meaningfully to litigation, including by conducting non-complex witness examinations in non-complex litigation</li><li>Draft clear and organized analysis, and effective advocacy documents</li><li>Plan for and conduct OTRs of witnesses, demonstrating ability to develop an effective transcript through active listening, follow-up, and knowledge of the record</li></ul></li></ul><p></p><ul><li>Achieve Enforcement outcomes that are foreseeable and transparent in non-complex matters</li><li>Identify and assess relevant Principal Considerations</li><li>Recommend charges and sanctions consistent with FINRA’s priorities and principles</li><li>Draft and finalize settlement documents that clearly describe the facts, the basis for FINRA charges, and the Principal Considerations that support the sanction</li><li>Research and identify the legal requirements for charges</li><li>Identify and escalate issues where rules and guidance are ambiguous or silent</li><li>Contribute to discussions with other departments regarding interpretive or policy issues</li><li>Explain legal reasoning regarding non-complex matters or issues in meetings with respondents or other stakeholders</li><li>Resolve non-complex Enforcement matters timely</li><li>Actively monitor and advise in investigations to ensure they are focused and targeted, and identify necessary inquiries in real time</li><li>Prepare cases for litigation to facilitate prompt filing, efficient document production, and a timely hearing</li><li>Manage time effectively to independently meet deadlines and provide work product in a timely manner</li><li>Demonstrate effective oral advocacy during negotiations and discussions, facilitating efficient progress of a matter</li><li>Prioritize matters based on risk</li><li>Establish timelines and manage teamwork and tasks to achieve them</li><li>Produce timely and complete written work product</li><li>Identify and escalate matters or issues that require re-prioritization</li><li>Avoid unnecessary research or investigative steps</li><li>Successfully collaborate with investigative staff to produce a sound factual record in non-complex matters</li><li>Partner with investigative staff to plan investigation and fully develop the record</li><li>Provide relevant and accurate legal advice to investigative and legal staff</li><li>Work effectively with investigative staff to ensure that written descriptions are supported by the record, accurate and clear</li><li>Identify and escalate gaps in the investigative record</li><li>Objectively review and clearly summarize sufficiency of evidence to establish a charge</li><li>Demonstrate ability to resolve non-complex matters with supervision, and provide high quality work in team-based matters</li><li>Keep managers informed and incorporate feedback into planning and execution</li><li>Complete assignments in an efficient manner; leverage existing relevant precedents, such as work product in similar cases, where possible</li><li>Effectively communicate with other team members about non-complex factual and legal issues for analysis</li><li>Assist in litigation preparation by preparing exhibits, drafting witness outlines, and participating in strategy discussions</li><li>Conduct non-complex witness examinations in litigation</li></ul><p></p><p style="text-align:inherit"></p><p style="text-align:inherit"></p><p><span><b>Education/Experience Requirements:</b></span></p><ul><li><span>Law degree and admission to the bar. </span></li><li><span>A minimum of four years relevant legal experience in a regulatory or legal environment. </span></li><li><span>Excellent oral and written communication and litigation skills. </span></li><li><span>Excellent interpersonal skills.</span></li></ul><p><span><b> </b></span></p><p><span><b>Work Conditions:</b></span></p><ul><li><span>Work outside of business hours and overnight travel may be required.</span></li></ul><p></p><p></p><p><b>Compensation Range for Colorado locations</b></p>Annual Salary: $84,300.00 - $151,900.00<p></p><p></p><p><b>To be considered for this position, please submit an application. </b></p><p></p><p><i>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.</i></p><p></p><p><i><b>Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter <span><span><span><span><span><span><span><span><span><span><span>www.finra.org/careers</span></span></span></span></span></span></span></span></span></span></span> into your browser to reach our site directly.</b></i></p><p></p><p>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.</p><p></p><p><span>Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.</span></p><p></p><p><u><b>Important Information</b></u></p><p></p><p>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. <b>All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment <span><span><span><span><span><span><span><span><span><span><span>restrictions—including</span></span></span></span></span></span></span></span></span></span></span> disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—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.</b></p><p></p><p>You can read more about these restrictions <a href="https://finra.org/careers/investment-and-securities-account-restrictions-under-finras-code-conduct" target="_blank">here</a>.</p><p></p><p>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.</p><p></p><p><u><b>Search Firm Representatives</b></u></p><p></p><p>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.</p><p></p><p><i><b>FINRA is an Equal Opportunity and Affirmative Action Employer</b></i></p><p></p><p>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.</p><p></p><p>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.</p><p></p><p>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.</p><p></p><p>©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.</p>
|
|
|
|
|
Feb 28th, 2022 10:10AM
|
Feb 28th, 2022 10:10AM
|
FINRA
|
|
Financial Services
|
|
private:finra
|
finra.wd1.myworkdayjobs.com
|
finra.wd1.myworkdayjobs.com
|
Feb 28th, 2022 12:00AM
|
Counsel, Enforcement
|
Open
|
Financial Industry Regulatory Authority, Inc.
|
|
NYC (Brookfield Place)
|
|
|
USA
|
Jan 29th, 2022 12:00AM
|
|
<p style="text-align:inherit"></p><p style="text-align:inherit"></p>The Enforcement Counsel resolves non-complex Enforcement matters, and contributes meaningful high quality work for large complex matters.<p style="text-align:inherit"></p><p style="text-align:inherit"></p><p><b>Essential Job Functions:</b></p><ul><li>Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy<ul><li>Execute an effective risk-based legal strategy to assess the record fairly;</li><li>Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case;</li><li>Identify potential risks, defenses, individual liability and Principal Considerations;</li><li>Effectively negotiate settlements, demonstrating knowledge of the record, and familiarity with the law and potential defenses;</li><li>Contribute meaningfully to settlement negotiations and discussions with respondents, demonstrating knowledge of the record and familiarity with the law and potential defenses</li><li>Contribute meaningfully to internal discussions regarding legal strategy, demonstrating an understanding of the factual record and legal framework;</li><li>Assist in litigation preparation and contribute meaningfully to litigation, including by conducting non-complex witness examinations in non-complex litigation</li><li>Draft clear and organized analysis, and effective advocacy documents;</li><li>Plan for and conduct OTRs of witnesses, demonstrating ability to develop an effective transcript through active listening, follow-up, and knowledge of the record</li></ul></li></ul><p></p><ul><li>Achieve Enforcement outcomes that are foreseeable and transparent in non-complex matters.</li><li>Identify and assess relevant Principal Considerations;</li><li>Recommend charges and sanctions consistent with FINRA’s priorities and principles;</li><li>Draft and finalize settlement documents that clearly describe the facts, the basis for FINRA charges, and the Principal Considerations that support the sanction</li><li>Research and identify the legal requirements for charges;</li><li>Identify and escalate issues where rules and guidance are ambiguous or silent;</li><li>Contribute to discussions with other departments regarding interpretive or policy issues;</li><li>Explain legal reasoning regarding non-complex matters or issues in meetings with respondents or other stakeholders;</li><li>Resolve non-complex Enforcement matters timely.</li><li>Actively monitor and advise in investigations to ensure they are focused and targeted, and identify necessary inquiries in real time;</li><li>Prepare cases for litigation to facilitate prompt filing, efficient document production, and a timely hearing</li><li>Manage time effectively to independently meet deadlines and provide work product in a timely manner;</li><li>Demonstrate effective oral advocacy during negotiations and discussions, facilitating efficient progress of a matter</li><li>Prioritize matters based on risk;</li><li>Establish timelines and manage teamwork and tasks to achieve them;</li><li>Produce timely and complete written work product</li><li>Identify and escalate matters or issues that require re-prioritization;</li><li>Avoid unnecessary research or investigative steps</li><li>Successfully collaborate with investigative staff to produce a sound factual record in non-complex matters.</li><li>Partner with investigative staff to plan investigation and fully develop the record;</li><li>Provide relevant and accurate legal advice to investigative and legal staff ;</li><li>Work effectively with investigative staff to ensure that written descriptions are supported by the record, accurate and clear;</li><li>Identify and escalate gaps in the investigative record;</li><li>Objectively review and clearly summarize sufficiency of evidence to establish a charge</li><li>Demonstrate ability to resolve non-complex matters with supervision, and provide high quality work in team-based matters</li><li>Keep managers informed and incorporate feedback into planning and execution;</li><li>Complete assignments in an efficient manner; leverage existing relevant precedents, such as work product in similar cases, where possible;</li><li>Effectively communicate with other team members about non-complex factual and legal issues for analysis;</li><li>Assist in litigation preparation by preparing exhibits, drafting witness outlines, and participating in strategy discussions</li><li>Conduct non-complex witness examinations in litigation</li></ul><p style="text-align:inherit"></p><p style="text-align:inherit"></p><p><span><b>Education/Experience Requirements:</b></span></p><ul><li><span>Law degree and admission to the bar. </span></li><li><span>A minimum of four years relevant legal experience in a regulatory or legal environment. </span></li><li><span>Excellent oral and written communication and litigation skills. </span></li><li><span>Excellent interpersonal skills.</span></li></ul><p><span><b> </b></span></p><p><span><b>Work Conditions:</b></span></p><ul><li><span>Work outside of business hours and overnight travel may be required.</span></li></ul><p><span></span></p><p></p><p></p><p><b>Compensation Range for Colorado locations</b></p>Annual Salary: $84,300.00 - $151,900.00<p></p><p></p><p><b>To be considered for this position, please submit an application. </b></p><p></p><p><i>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.</i></p><p></p><p><i><b>Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter <span><span><span><span><span><span><span><span><span><span><span>www.finra.org/careers</span></span></span></span></span></span></span></span></span></span></span> into your browser to reach our site directly.</b></i></p><p></p><p>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.</p><p></p><p><span>Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.</span></p><p></p><p><u><b>Important Information</b></u></p><p></p><p>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. <b>All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment <span><span><span><span><span><span><span><span><span><span><span>restrictions—including</span></span></span></span></span></span></span></span></span></span></span> disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—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.</b></p><p></p><p>You can read more about these restrictions <a href="https://finra.org/careers/investment-and-securities-account-restrictions-under-finras-code-conduct" target="_blank">here</a>.</p><p></p><p>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.</p><p></p><p><u><b>Search Firm Representatives</b></u></p><p></p><p>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.</p><p></p><p><i><b>FINRA is an Equal Opportunity and Affirmative Action Employer</b></i></p><p></p><p>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.</p><p></p><p>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.</p><p></p><p>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.</p><p></p><p>©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.</p>
|
|
|
|
|
Feb 28th, 2022 10:10AM
|
Feb 28th, 2022 10:10AM
|
FINRA
|
|
Financial Services
|
|
private:finra
|
finra.wd1.myworkdayjobs.com
|
finra.wd1.myworkdayjobs.com
|
Feb 28th, 2022 12:00AM
|
Vice President, Internal Communications
|
Open
|
Financial Industry Regulatory Authority, Inc.
|
|
Washington, DC
|
|
|
USA
|
Jan 29th, 2022 12:00AM
|
|
<p style="text-align:inherit"></p><p style="text-align:inherit"></p>The Head of Internal Communications leads the development and execution of all enterprise-wide employee communications programs designed to build employee pride, confidence and engagement in our organization and leadership by connecting them to the company’s mission, purpose, values, and strategic business goals. The Head of Internal Communications oversees a high-performing team responsible for all corporate and business internal communications activities and provides internal communications counsel and support for the executive management team. They partner closely with stakeholders from across the company to ensure all communications activities fully align with the company’s strategic direction. This role reports to the SVP, Corporate Communications.<br><br>Support, engage, inspire and motivate FINRA employees through the creation and implementation of powerful, meaningful and helpful communications programs.<p style="text-align:inherit"></p><p style="text-align:inherit"></p><p><b>Essential Job Functions:</b></p><ul><li>Responsible for the creation and implementation of impactful internal communications strategies in order to strengthen and unify FINRA employees as they work to support the organization’s mission.</li><li>Manage and develop the internal communications team.</li><li>Ensure communications efforts closely align with and build confidence in the mission, purpose, and values of the organization.</li><li>Counsel, advise, and guide senior executives on internal communications strategies and practices and build strong support for and participation in key internal communications initiatives.</li><li>Partner and collaborate with key internal business partners and serve as a trusted expert on internal communications with their leadership and staff.</li><li>Partner and collaborate with other teams within Corporate Communications, including External Communications, Creative Services, Digital, and Operations.</li><li>Create a long-term planning process for systematically adopting best practices and enhancing the value and impact of internal communications efforts.</li><li>Drive strong focus on measuring impact and effectiveness of internal communications efforts to help inform communications practices and improve employee engagement efforts.</li><li>Oversee all employee engagement communications activities and initiatives, including the management of evolving content and channel strategies and storytelling techniques.</li><li>Ensure team focus on high quality work with dedication to consistent style and process standards.</li><li>Serve as a key member of the Corporate Communications Leadership Team.</li></ul><p style="text-align:inherit"></p><p style="text-align:inherit"></p><p><b>Other Responsibilities:</b></p><ul><li>Liaison and engage with external agencies as needed.</li></ul><p></p><p><b>Education/Experience Requirements:</b></p><ul><li>BS or BA in Communications, Journalism, English or other related field.</li><li>At least 12-15 years of professional experience in internal communications, either within an organization or firm, or in an agency setting.</li><li>At least 5-7 years of professional management experience.</li><li>Demonstrated ability to work in senior internal communication roles within financial services, technology, a regulatory organization or another highly regulated industry.</li><li>Proven track record of overseeing and developing successful internal communications programs in dynamic organizations.</li><li>Exemplary written and verbal communication skills.</li><li>Capable of building consensus at all levels and across the enterprise.</li><li>Excellent counseling and strategic thinking capabilities.</li><li>Ability to be persuasive and collaborative, both with the team and the department, and across the organization.</li><li>Strong leadership and people management skills.</li></ul><p></p><p></p><p><b>To be considered for this position, please submit an application. </b></p><p></p><p><i>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.</i></p><p></p><p><i><b>Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter <span><span><span><span><span><span><span><span><span><span><span>www.finra.org/careers</span></span></span></span></span></span></span></span></span></span></span> into your browser to reach our site directly.</b></i></p><p></p><p>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.</p><p></p><p><span>Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.</span></p><p></p><p><u><b>Important Information</b></u></p><p></p><p>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. <b>All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment <span><span><span><span><span><span><span><span><span><span><span>restrictions—including</span></span></span></span></span></span></span></span></span></span></span> disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—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.</b></p><p></p><p>You can read more about these restrictions <a href="https://finra.org/careers/investment-and-securities-account-restrictions-under-finras-code-conduct" target="_blank">here</a>.</p><p></p><p>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.</p><p></p><p><u><b>Search Firm Representatives</b></u></p><p></p><p>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.</p><p></p><p><i><b>FINRA is an Equal Opportunity and Affirmative Action Employer</b></i></p><p></p><p>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.</p><p></p><p>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.</p><p></p><p>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.</p><p></p><p>©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.</p>
|
|
|
|
|
Feb 28th, 2022 10:10AM
|
Feb 28th, 2022 10:10AM
|
FINRA
|
|
Financial Services
|
|
private:finra
|
finra.wd1.myworkdayjobs.com
|
finra.wd1.myworkdayjobs.com
|
Feb 28th, 2022 12:00AM
|
Instructional Designer
|
Open
|
Financial Industry Regulatory Authority, Inc.
|
|
NYC (Brookfield Place)
|
|
|
USA
|
Jan 29th, 2022 12:00AM
|
|
<p style="text-align:inherit"></p><p style="text-align:inherit"></p>The Instructional Designer is responsible for developing content for the securities industry Continuing Education (CE) program (including Regulatory Element, Maintaining Qualifications and Firm Element components) and SRO-client programs that is engaging, accurate and optimizes learning.<p style="text-align:inherit"></p><p style="text-align:inherit"></p><p><b>Essential Job Functions:</b></p><ul><li>Manage the development of content for eLearning courses that meets the training needs of specific audiences and programs by: analyzing training needs and topics; writing content and learning objectives; structuring logical flows of information for courses; drafting assessment questions, activities, interactions and scenarios; managing course edits and updates; and, confirming the accuracy and validity of content by leveraging subject matter experts (internal, external and CE Council and content committees). </li><li>Independently lead CE content committees to develop and review content by: creating agendas; identifying, organizing and providing appropriate materials to assist in the content development process; facilitating meetings; and, managing committee member participation, including recruiting new members, monitoring performance of current members and when needed, recommending removal of individuals for unsatisfactory performance.</li><li>Research and apply securities industry knowledge to CE programs by: including relevant information in courses; proactively monitoring rule changes, SEC mandates, new securities products and industry best practices; evaluating the impact of industry changes on existing content and implementing edits when necessary; recommending new topics or courses based on industry changes or trends.</li><li>Work with the Office of General Counsel and other FINRA departments on registration and qualification issues as these relate to CE.</li><li>Liaise with regulatory organizations and industry groups to review CE program content and requirements. Provide support in developing, enhancing and completing tasks and projects associated with CE Council quarterly meetings, Council website and special projects.</li></ul><p style="text-align:inherit"></p><p style="text-align:inherit"></p><p><b>Other Responsibilities:</b></p><ul><li>Assist with special projects as assigned by management and work with vendors in order to support CE business needs.</li></ul><p></p><p><b>Education/Experience Requirements:</b></p><ul><li>Bachelor's degree and a minimum of three (3) years of experience in the securities industry, preferably in a regulatory, compliance or training capacity with a broker-dealer and/or content development; or an equivalent combination of education and experience.</li><li>Proven ability to write clearly and concisely.</li><li>Strong interpersonal skills with excellent communication skills (both oral and written)</li><li>Ability to work independently and produce high quality work product that requires a great attention to detail.</li><li>Capable of managing multiple concurrent projects simultaneously and meeting strict deadlines.</li><li>Project management skills are desirable.</li><li>Must be proficient with all standard office software.</li></ul><p></p><p><b>Working Conditions:</b></p><ul><li>Work is performed in a standard office environment and remotely. Some travel required (20%)</li></ul><p></p><p></p><p></p><p><b>To be considered for this position, please submit an application. </b></p><p></p><p><i>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.</i></p><p></p><p><i><b>Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter <span><span><span><span><span><span><span><span><span><span><span>www.finra.org/careers</span></span></span></span></span></span></span></span></span></span></span> into your browser to reach our site directly.</b></i></p><p></p><p>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.</p><p></p><p><span>Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.</span></p><p></p><p><u><b>Important Information</b></u></p><p></p><p>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. <b>All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment <span><span><span><span><span><span><span><span><span><span><span>restrictions—including</span></span></span></span></span></span></span></span></span></span></span> disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—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.</b></p><p></p><p>You can read more about these restrictions <a href="https://finra.org/careers/investment-and-securities-account-restrictions-under-finras-code-conduct" target="_blank">here</a>.</p><p></p><p>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.</p><p></p><p><u><b>Search Firm Representatives</b></u></p><p></p><p>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.</p><p></p><p><i><b>FINRA is an Equal Opportunity and Affirmative Action Employer</b></i></p><p></p><p>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.</p><p></p><p>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.</p><p></p><p>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.</p><p></p><p>©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.</p>
|
|
|
|
|
Feb 28th, 2022 10:10AM
|
Feb 28th, 2022 10:10AM
|
FINRA
|
|
Financial Services
|