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SalaryThe Administrative Specialist performs a wide range of functional and administrative support to the department. This is professional-level work where the incumbent works under direct supervision and guidance.
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.
Essential Job Functions:
- Drafts and edits routine correspondence, reports, and forms, such as external referrals, and handles incoming and outgoing correspondence.
- Assists with gathering documents in response to internal audit requests and SEC oversight and inspection requests.
- Creates, runs, or maintains various status or statistical reports or summaries relating to the functional areas. Performs mid-level analysis of data as requested.
- Updates information in case tracking and other internal systems as necessary.
- Schedules, prioritizes, and organizes meetings and events (logistics and on-site assistance) and prepares agendas. Prepares presentation materials, meeting minutes, status updates, and action items when appropriate.
- Manages and serves as point of contact for scheduling conference room reservations and requesting and setting up equipment for large meetings and events. Manages and serves as the point of contact on service requests including office equipment, office supplies, and Property Management requests.
- Makes travel arrangements and prepares itineraries and travel expense reports for MRTS staff.
- Responsible for preparation of files for transmittal to off-site storage in accordance with department policies. Reviews on an annual basis records eligible for destruction in accordance with enterprise and department policies and makes recommendations to the Information Manager upon completion of review.
- Collaborates with management to identify improvements to administrative processes and best practices to ensure continued efficiency and effectiveness.
- Manages communications with other administrative assistants to plan and coordinate meetings, speaking engagements and other events.
- Assists with and sometimes leads special projects both in collaboration with others and independently.
- Performs other specialized administrative duties as required, including the handling and production of non-oversight access requests and follow up to referral requests from the SEC or other federal or state government or law enforcement agencies, in accordance with departmental and Office of Liaison and Counsel (OLC) policies and procedures.
Education & Experience Requirements:
- High school diploma and a minimum of five (5) years of related administrative or operational experience.
- Intermediate level of proficiency in Microsoft applications and ability to effectively navigate multiple applications and systems.
- Strong verbal and written communication skills and interpersonal and organizational skills.
- Ability to accurately facilitate the timely execution of assignments.
- Ability to work with sensitive and confidential information.
- Ability to multi-task and work independently.
Working Conditions:
- Hybrid work environment.
- Work environment includes high productivity expectations and tight deadlines.
For work that is performed in CA, Washington, DC, CO, HI, New York, NY 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.
California: Minimum Salary $68,400, Maximum Salary $126,600
Washington, DC: Minimum Salary $68,400, Maximum Salary $121,200
Colorado/Hawaii: Minimum Salary $59,500, Maximum Salary $105,500
New York, NY: Minimum Salary $71,400, Maximum Salary $126,600
Washington State: Minimum Salary $59,500, Maximum Salary $121,200
New York, NY: Minimum Salary $71,400, Maximum Salary $126,600
Washington State: Minimum Salary $59,500, Maximum Salary $121,200
#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.
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.
