Administrative Assistant I, Member Regulation, ROOR- New York, NY

Financial Industry Regulatory Authority (FINRA)
New York
Oct 17, 2016
Oct 19, 2016
Employer Type
Direct Employer
Employment Type
Full Time
Job Board
We Work to Protect Investors. Join our Team.

The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified candidate for our Administrative Assistant I opening in New York, NY.

Major Purpose:

The Administrative Assistant I supports the surveillance and examination staff in Risk Oversight and Operational Regulation - Unit 3. This is an administrative position in which the incumbent is responsible for the following.

Essential Job Functions:

Schedule Maintenance: The position will be responsible for the creation and maintenance of various Unit schedules (utilizing Microsoft Word and Excel), including:

  • Examination Milestone and aging schedules
  • Aged Exception Disposition reports
  • Membership Change reports
  • New Member firm reports
  • Enforcement referrals

    Data Entry: The position will be responsible for ensuring internal systems are up-to-date and properly populated, including:
  • Exam Maintenance systems
  • Firm Assignment and profile
  • Attendance tracking

    Additional administrative duties:
  • Assist Directors with travel arrangements including preparing expense reports
  • Maintenance of Unit conference call usage
  • Maintain files for staff, including shared files.
  • Scheduling of meetings (via Microsoft Outlook) for multiple Directors. Printing and photocopying various documents as needed. Assist with day-to-day ad-hoc projects and assignments.

    Education/Experience Requirements:
    • Minimum of two years of related administrative experience, preferably handling a large department.
    • Strong administrative and computer literacy skills, including Microsoft Word, Excel, PowerPoint, and Outlook.
    • Ability to effectively multi-task and prioritize tasks from different sources.
    • Effective in oral and written communication.
    • Strong interpersonal and organization al skills.
    • Ability to think independently.
    • College degree a plus .
    Working Conditions:

    Work is normally performed in an office environment. Some overtime may be required

    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.

    To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.

    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 accommodation help line at . Please note that this number is exclusively for inquiries regarding application accommodations.

    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.

    About FINRA

    FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC's oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA's independent regulation plays a critical role in America's financial system-all at no cost to taxpayers.

    FINRA touches virtually every aspect of the securities business-from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms.

    All told, FINRA oversees roughly 4,000 securities firms and more than 643,000 brokers. FINRA performs various market regulation functions under contract for almost every equities market in the United States, including the New York Stock Exchange, NYSE Arca, NYSE MKT, NASDAQ, NASDAQ Options Market, NASDAQ OMX Philadelphia, NASDAQ OMX BX, BZX, BYZ, EDGA and EDGX Exchanges.

    In addition, FINRA is responsible for regulating about 60 percent of the options market. FINRA performs various market regulation functions for the Chicago Board Options Exchange (CBOE), C2 Options Exchange and MIAX Options Exchange.

    FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage. In fact, FINRA processes, on average, 42 billion-and up to 75 billion-transactions every day to build a complete, holistic picture of market trading in the United States.

    In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.

    FINRA has approximately 3,600 employees and operates from Washington, DC, and New York, NY, with 17 offices around the country.

    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.

    ??2016 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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