Operations Specialist, REMA Business Operations - Any FINRA Location - FINRA

The mission of Regulatory Economics and Market Analysis (REMA) is to elevate FINRA’s ability to make sound regulatory and policy decisions and foster innovation in regulation through best-in-class research and analysis. Our work focuses on financial markets, market participants, products, and services. REMA’s work informs FINRA’s rulemaking and regulatory policy agenda, identifies emerging regulatory risks, develops new methods to identify and measure customer harm and strengthens FINRA’s surveillance, examination, and enforcement programs. REMA also monitors, assesses and reports on emerging market developments, including technologies impacting financial innovation for member firms and their investors. REMA is comprised of two offices, the Office of the Chief Economist (OCE) and the Office of Financial Innovation (OFI).

The role of the Operations Specialist is to support the Associate Director of Operations (ADO) in the execution and implementation of various operational projects, frameworks and initiatives intended to align both the Office of the Chief Economist (OCE) and the Office of Financial Innovation (OFI) offices under REMA (Regulatory Economics and Market Analysis) in a harmonious manner. This position will provide comprehensive operational and administrative support to the overall REMA department under the direction of the ADO and additional support of the current REMA admin team.

Essential Job Functions:

Under the direction and partnership of the ADO and in collaboration with the two OCE/OFI admins:

• Processes Department contracts (which regularly involves processing sensitive personal confidential information), task orders, purchase requisitions, and payment requests
• Creates and maintains Department dashboards, including monthly budget reports, event/speaking engagement tracking, and publications distribution, and also assists with budgeting process and auditing
• Assist in drafting presentation materials, communications, meeting minutes, status updates, and action items when appropriate, for internal and external meetings as needed
• Reviews on a semi- annual basis records eligible for destruction in accordance with enterprise and department policies and makes recommendations to the Information Manager upon completion of review
• Oversees/tracks access to FINRA systems for Department staff, implements procedures under FINRA’s Information Privacy and Protection Policy (IPPP) Guidelines, and manages records pursuant to FINRA and Departmental procedures, to assist with IM, IM Delegate, and Records Manager requests/duties
• Collaborates with ADO and management to identify and implement improvements to administrative processes and best practices to ensure continued efficiency and effectiveness between the two offices
• Engage with REMA staff to ensure entry of updated and accurate project information in REMA’s project tracking system, generates and aides in disseminating project management related reports to management regularly
• Assist ADO with implementing various operational initiatives that support the department

Other Responsibilities:

• Assists with gathering documents in response to internal audit requests and SEC oversight and inspection requests
• Execute various reports as needed, including technology roadmap updates/needs, relating to the functional areas. Performs mid-level analysis of data as requested
• Supports the admin team in planning department events and other applicable initiatives
• Provide any other related operational support as department needs evolve

Education/Experience Requirements:

• Bachelor’s degree in Business Administration or relevant education
• 2-3 years of relevant experience
• Significant experience utilizing Microsoft Office applications such as Word Excel, Access, and PowerPoint
• Ability to become proficient in project management tools (e.g JIRA)
• Proficient organizational skills
• Ability to create and help implement efficient tracking systems
• Strong written and verbal communication
• Capacity to prioritize inquiries and requests while troubleshooting conflicts and exercise good judgment in a variety of situations with little guidance
• Ability to accomplish a wide variety of complex assignments concurrently with minimal supervision
• Resourceful and takes initiative, self-starter
• Team player, effective collaboration with teams, and ability to support ADO in achieving departmental goals and objectives
• Adaptable and handles change well

Working Conditions:

• Work is normally performed in a hybrid office environment
• Occasional travel between FINRA offices may be required
• May require overtime, as well as flexibility of work hours

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, 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.

CA: Minimum Hourly Rate $32.91, Maximum Hourly Rate $60.84
CO/HI/MN/VT*: Minimum Hourly Rate $28.62, Maximum Hourly Rate $50.69

IL*: Minimum Hourly Rate $31.65, Maximum Hourly Rate $55.77
Jersey City, NJ/NY, NY: Minimum Hourly Rate $34.35, Maximum Hourly Rate $60.84

MD/Washington, DC: Minimum Hourly Rate $32.91, Maximum Hourly Rate $58.27
WA: Minimum Hourly Rate $28.62, Maximum Hourly Rate $58.27

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#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.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.

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.

©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.