Job details

Senior Specialist, Continuing Education Marketplace

The Senior Specialist, Continuing Education (CE) Marketplace is responsible for providing operational support to the FINRA CE Marketplace, FINRA CE Programs and FINRA’s CE client programs. This includes managing and conducting activities in support of CE Marketplace clients and content providers, as well as supporting the administration of FINRA’s CE programs and client programs..

Essential Job Functions:

Manages and administers processes related to CE course certifications with continuing professional education programs by ensuring maintenance and compliance with the respective program’s course standards, obtaining CE certifications for course content, and administering applicable reporting activities.
Manages and coordinates the administration of FINRA CE client programs by managing the communications schedule, onboarding content providers, tracking completions and providing applicable client reports.
Collaborates with other CE team members in conducting course pre-publication processes, including course reviews and quality assurance activities.
Supports CE Marketplace client and content provider communications and operational processes by collaborating with the Client Relationship Manager in preparing and disseminating client and content provider communications, administering periodic royalty and payment reports, and providing client and vendor management support.
Supports the administration, maintenance, and coordination of learning management system operations by assisting with maintaining the course inventory and creating reports on enrollment, usage, completion, and other relevant metrics to support the needs of the CE Programs.
Assists with routine audits of learning content included within the CE Marketplace platforms to ensure performance, quality assurance, and compliance with established standards.

Education/Experience Requirements:

Bachelor’s degree and a minimum of (3) years of related experience; or an equivalent combination of education and experience.
Working knowledge of the job-related responsibilities and skills required of registered persons and knowledge of securities industry rules/regulations (FINRA, SEC and other Self Regulatory Organizations) and guidelines of designated authorities.
Interpersonal and relationship-building skills.
Strong analytical and organizational skills with the ability to deal effectively with people and assist with decision making and resolving issues.
Knowledge of securities industry regulation desirable.
Excellent written and oral communications skills.

Working Conditions:

Hybrid working environment.
Travel as necessary (approximately 5% travel).

For work that is performed in CA, CO, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

California: Minimum Salary $73,000, Maximum Salary $141,900

Colorado: Minimum Salary $66,200, Maximum Salary $118,200

New York, NY: Minimum Salary $79,400, Maximum Salary $141,900

Washington: Minimum Salary $66,200, Maximum Salary $136,000

#LI-Hybrid

To be considered for this position, please submit an application.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

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Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

Based on full-time schedule

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including 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.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.