Assistant Continuing Education Manager, Regulatory Services  

Summary of Position: The North American Securities Administrators Association (NASAA), a prominent Washington, D.C. association devoted to supporting the work of state and provincial securities regulators, is seeking to hire an Assistant Continuing Education Manager within the organization’s Regulatory Services department.

This position will support NASAA’s Manager for Regulatory Services in the development and operations of the Investment Adviser Representative Continuing Education (IAR CE) program, the NASAA Application Management System (AMS), and other Regulatory Systems as necessary. For more information on NASAA’s IAR CE program, please click here. The position reports to the Manager for Regulatory Services.

The successful candidate will be highly motivated, have a positive attitude, a commitment to excellence and possess strong organization and communication skills. The position also requires the ability to multi-task, maintain confidentiality, coordinate concurrent workflows, and function well individually or as a team player.

The responsibilities of the Assistant Continuing Education Manager, Regulatory Services will include:

• Work closely with state securities regulators and education providers to assist with daily activities such as reviews of continuing education provider, instructor, and course applications, generating and sending notifications, and ensuring compliance of the program.
• Manage the flow of submissions through the Application Management System (AMS).
• Review course applications, outlines, assessments, and other supporting documents to evaluate relevancy of topics and assign credits based on the evaluation of criteria.
• Coordinate work to ensure course reviews are completed in a timely manner and within required service levels.
• Support NASAA’s Investment Adviser Representative Continuing Education Board level committee.
• Work closely with The Financial Industry Regulatory Authority (FINRA) to ensure continuing education data is accurately processed in FINRA’s Central Registration Depository (CRD) system.
• Onboard providers in the AMS and work with FINRA for CRD onboarding.
• Develop guides and tools to assist providers with AMS and roster submissions.
• Maintain relevancy and accuracy of program documents including the IAR CE Handbook, applications, criteria guidelines, etc.
• Perform audits of the providers, courses, and instructors.
• Run reports and provide data to the Regulatory Services team and the IAR CE Board level committee as requested.
• Assist the Manager for Regulatory Services in ongoing operations of the IAR CE program, including course development, tracking growth, monitoring vendor compliance, and related functions.
• Respond to inquiries from NASAA members, staff, learners, providers, and other stakeholders regarding the IAR CE program and AMS and escalate matters to the Manager for Regulatory Services, as necessary.
• Perform other duties as assigned.

Education, Skills, and Experience Requirements:

• A minimum of three years of relevant work experience with a state securities regulatory agency, federal securities regulator, self-regulatory organization, legal and/or compliance agency, or in the securities industry is required.
• Bachelor’s degree required.
• Highly proficient in the use of Microsoft Office products, including Word, Outlook, Excel, and PowerPoint.
• Successful completion of the Uniform Investment Adviser Law Examination (Series 65), the Uniform Combined State Law Examination (Series 66), or an equivalent professional designation OR a combination of education and experience, including but not limited to, 3-5 (or more) years of direct experience in Securities Education, Compliance, Supervision or Financial Services Industry experience required.
• Excellent organizational, oral, and written communication skills.
• A strong attention to detail and adaptability to varied work assignments.
• A demonstrated ability to manage multiple assignments, including deadline-driven assignments and medium to high email correspondence volume.
• A positive attitude and the ability to work as a team member.
• A strong interest in investor protection and securities regulation.

Additional Details:

• The salary range for this position is $74,000 - $80,000 per year.
• NASAA offers their employees a competitive compensation package that includes health insurance, paid sick and vacation leave, and retirement plan options.
• All NASAA employees are offered opportunities for professional development.
• While this position will be based in the Washington, D.C. Corporate Office, NASAA maintains a hybrid working schedule where eligible staff are permitted to work remotely up to 3 days per week. As part of the onboarding process, new employees are required to work onsite for the first 5 days of their employment, 3 days per week for the following three weeks, and then 2 days per week pending successful completion of the onboarding process.

This job posting should not be construed to imply that these requirements are the only standards for the position. NASAA employees will follow any other instructions and perform any other related duties that may be required. NASAA has the right to revise this job description at any time. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience and education, as well as peer compensation and market comparisons.

NASAA is an equal opportunity employer and does not discriminate in hiring or employment on the basis of race, color, religion, national origin, citizenship status, age, disability, sex, veteran status, or any other characteristic protected by applicable federal, state, or local laws, regulations, or ordinances.