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2 months ago

Washington, Washington, D.C., United States Finra Full time

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_
  • 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 expertlevel 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 benchmarking 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.
  • 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 mínimal 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.
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