Job Abstract

Through its administration of the Code of Conduct, the Ethics Office (“Office”) furthers FINRA’s independence and the integrity of its regulatory efforts. This position is responsible for all ethics publications and courses, ensuring that those effectively convey the principles and requirements of the Code of Conduct to all constituents performing work on FINRA’s behalf in regulatory and non-regulatory capacities within all FINRA departments and lines of business, and that such materials are rea... more details

Through its administration of the Code of Conduct, the Ethics Office (“Office”) furthers FINRA’s independence and the integrity of its regulatory efforts. This position is responsible for all ethics publications and courses, ensuring that those effectively convey the principles and requirements of the Code of Conduct to all constituents performing work on FINRA’s behalf in regulatory and non-regulatory capacities within all FINRA departments and lines of business, and that such materials are reasonably designed to meet the expectations of FINRA’s Board of Governors and the SEC. The position responds to general policy inquiries, manages the ethics advisory case docket and case management systems for preservation of advisory precedent.
This is professional level work in which the incumbent is defining their assigned roles, increasing their skills, assuming increased responsibility, and working under general guidance of the Ethics Director.

Essential Job Functions:

Ethics Program Communications

• Develops, plans and executes all of the Office’s communications intended to raise employee awareness of expectations under FINRA’s ethics program. With a focus on driving consistent application of the Code across FINRA departments, ensures that communications effectively convey common principles and mandates, and as needed, address special requirements pertaining to particular departments.  Independently researches applicable content, presents outlines/drafts for review, coordinates feedback and production of finalized communications.
• Acts as the project manager for the annual review and updating of the Code of Conduct, its supplemental policies and procedures and interpretive documents. Independently identifies and recommends necessary revisions, performs the editorial review and ensures timely publishing.
• Responsible for the design and content development of all published media associated with the Ethics Program. Expertly manages the Code of Conduct site on FINRA’s intranet partnering effectively with the web services team to achieve creative and dynamic solutions. Funnels mass communications through Corporate Communications to filter for FINRA corporate brand, sensitivities, and overall consistency across departments.
• Keeps current on events involving or impacting the ethics program.  Demonstrates expert-level knowledge of the Code and excellent written skill by independently identifying solutions to address those events; offers creative options for the conveyance of such to FINRA employees.
• May serve as a senior writer and editor for speeches and talking points for appearances made by the Ethics Office.

Ethics Training

• Independently manages periodic risk assessments and bench-marking of the overall ethics program. Provides expert advisement to the Ethics Director and VP based on industry best practice concerning the goals and objectives for all aspects of FINRA’s ethics training program including awareness builders and campaigns, ensuring those highlight critical elements of the Code of Conduct.
• Independently performs regular review and updating of all course and awareness materials. With a focus on driving consistent application of the Code, ensures that such materials effectively convey common principles and mandates. Where appropriate, customizes materials to address the program elements applicable only to particular departments.  In response to issues impacting FINRA’s Ethics Program, independently identifies and presents enhancements for affected course materials.
• Ensures accurate tracking of all mandatory ethics training and certification requirements. Reports regularly on the compliance of such to senior management. Reports on completion rates and feedback from satisfaction surveys.
• Attends and participates as a speaker at live training events and webinars conducted by the Office with FINRA departments, responsible for communicating overview of ethics program and introducing policy updates.
• Responsible for management of the vendor relationship with the educational compliance software provider(s) used by the Office and vetting of new vendors over time to keep training formats fresh.

Advisory

• Independently provides verbal and written responses concerning general Code of Conduct policy matters at varying levels of complexity.
• Manages the Advisory case docket.  Ensures all Advisory cases include sufficient synopsis for precedent. Independently identifies scenarios appropriate for training opportunities or aspects of the Code requiring clarification.
• Ensures timely resolution of open cases.
• Secretary to Code of Conduct Committee of the Ethics Office.  Independently maintains official minutes.

Other Responsibilities:

• Available as needed, to provide proofreading of the Office’s formal communications.

Education/Experience Requirements:

• Bachelor’s degree. Expertise and experience in formal legal or business drafting is a plus.
• Minimum of seven years of experience in an ethics or compliance department with an emphasis on corporate communications and training, or equivalent experience.
• Experience in a project management or similar role in a corporate setting a plus.
• High level of clear and concise oral and written communication skills are mandatory.
• Excellent time management skills including the ability to set and work towards deadlines.
• Effective communicator with excellent interpersonal skills and the ability to communicate with staff at all levels.
• Ability to quickly learn and interpret policies and procedures into effective learning communications.
• Critical thinking with excellent research and analytical skills.
• Proven ability to work independently with minimal supervision.
• Experience handling sensitive or confidential information.
• Proficiency in MS Office Suite products (including Word, Outlook, Excel and PowerPoint).
• Ethics and compliance certification from a recognized industry association preferred, will be sponsored if needed.

Working Conditions:

• Must possess ability to work under pressure, meet deadlines, and juggle multiple tasks efficiently and accurately.
• Standard office environment. Must use a desktop computer on a daily basis.
• Occasional travel may be required. 
• Extended hours may be required.
• Membership in an ethics and compliance industry association will be provided.

For work that is performed in CA, Washington, DC, CO, HI, 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 $106,400, Maximum Salary $200,200

Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800

Colorado/Hawaii: Minimum Salary $92,500, Maximum Salary $166,800

New York, NY: Minimum Salary $111,000, Maximum Salary $200,200

Washington State: Minimum Salary $92,500, Maximum Salary $191,800

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

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

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FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations. 

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.

You can read more about these restrictions here.

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

Search Firm Representatives

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

FINRA is an Equal Opportunity and Affirmative Action Employer

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

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

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

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