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Job Opening details:-
Company Name :- Finra
Position Name :-
Company Location :- Boca Raton, FL
Job Category :- General
Full Job Description :-
FINRA’s Department of Enforcement (Enforcement) is tasked with investigating potential securities violations and, when warranted, bringing formal disciplinary actions against firms and their associated persons.
The Operations Specialist (Operations Specialist) provides critical support to the Senior Director & Chief of Staff and the Enforcement Operations team by leading a number of reporting, procedural and quality control projects for the Enforcement Department. The Operations Specialist role is primarily to streamline operations and procedures, ensure timely responses to inquiries and oversights and develop and enhances reporting.
Essential Job Functions:
Updates and develops departmental procedures and manuals with the Operations Team, the Enforcement Chief of Staff and the Counsel to the Head of Enforcement.
Conduct Quality Assurance (QA) reviews with moderate supervision. Review and analyze programmatic areas, independently demonstrating responsibility and expertise primarily through analysis and presentation of operational-based quality standards. Proactively identify and escalate notable trends in workflow or operations to increase departmental efficiency and effectiveness.
Assist with oversights conducted by the SEC and other regulatory agencies, by gathering documentation, identifying and coordinating relevant staff and their information.
Assist with Enforcement responses to Internal Audit, including identifying and gathering documents and responsive information.
Assist with general Operations reporting and detailed analysis to meet data and information requests. Prepare and present reports relating to Enforcement statistics, Regulatory Service Agreement client business, and industry activities and trends.
Train Enforcement staff on project-based work, particularly relating to updated procedures and best practices, as needed.
Maintain an intermediate-level understanding of Enforcement’s subject matter, systems, and procedures.
Ensure all assigned activities are completed according to prescribed policies and standards.
Report on status of assigned tasks or projects.
Other special projects, as required.
Bachelor’s degree and a minimum of five years of relevant experience. Law degree and experience in a regulatory or legal environment strongly preferred but not required.
Strong written and verbal communication skills.
Keen organizational skills with exceptional attention to detail.
Ability to work quickly on multiple time-sensitive matters.
Must function effectively in a team environment and work with others to meet deadlines.
Demonstrated ability to communicate and interact at both senior and junior levels inside and outside the company.
Fluency with MS Office applications such as Word, PowerPoint, and Excel required. Knowledge of electronic case management programs preferred.
Work is normally performed in an office environment.
Occasional travel and extended hours may be required.
Compensation Range for Colorado locations
Annual Salary: $72,400.00 – $129,600.00
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 also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.
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
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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