Communications Manager- Main Enforcement- All FINRA Locations


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The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Communications Manager opening. To be considered for this position, please submit your resume through our career site at - no phone calls, please.
Job Summary

The Enforcement Communications Manager is responsible for internal and external communications supporting the Enforcement department. The Enforcement Communications Manager is responsible for creating content for and managing Enforcement's intranet, the information source providing tools and information, including legal analysis, for the entire department. The Enforcement Communications Manager is responsible for creating and distributing department updates on key Enforcement developments, including changes in rules and case law. The Enforcement Communications Manager also creates press releases, talking points for conferences and internal events, and internal written communications.

Essential Job Functions:

  • Manage the Enforcement communications program including creating a strategy aligned with FINRA-wide strategy for communications to department staff, FINRA, and external audiences. Communications content includes analysis and distillation of complex legal issues.
  • Create, edit and manage content on Enforcement's intranet site to ensure accuracy, currency and effectiveness of content, and forms, and to promote consistency in case investigation and formal actions.
  • Create, review, and edit communications for clarity, consistency and effectiveness in supporting and communicating Enforcement's priorities consistent with FINRA's broader goals and mission.
  • Draft press releases with support of Enforcement teams and in collaboration with FINRA Corporate Communications to effectively communicate importance of Enforcement legal actions in support of FINRA's priorities.
  • Create presentations for Enforcement executive management for internal and external use.
  • Collaborate with Corporate Communications to support FINRA's communications strategies concerning Enforcement's program.
  • Collaborate with technology to manage Enforcement's intranet to make it an effective location for staff to find tools, information and training that help them build cases that conform to the Enforcement Principles.
  • Advise Enforcement executive management on communication strategies for announcing cases, policy, procedures, and other information to department, FINRA, and external constituencies.
  • Assist in communications with SEC and other regulators.
  • Create summaries and reports for publication.
Other Responsibilities:

  • Support communication efforts for Enforcement Conferences.
  • Lead other departmental projects as necessary.


Education/Experience Requirements:

  • Law degree and a minimum of nine years of legal experience. Experience in the communications field a plus.
  • Demonstrated excellent written and verbal communication skills.
  • Strong organizational skills with exceptional attention to detail.
  • Demonstrated ability to work quickly on multiple time-sensitive matters.
  • Demonstrated ability to communicate and interact at both senior and junior levels inside and outside the company.
  • Knowledge of federal securities laws and specific knowledge of the Securities Exchange Act of 1934 required.

Working Conditions:

  • Normal office environment.
  • May require work outside of regular office hours.
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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In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

Important Information

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


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