The senior associate provides operational, programmatic, and administrative support for the Office of Investor Education (OIE) ("Department"), and provides comprehensive support and confidential assistance to the Senior Vice President of Investor Education and members of the Board of Directors of the FINRA Investor Education Foundation (Foundation) under limited supervision by the SVP.
Essential Job Functions:
Processes Department and Foundation grant agreements, partnership agreements, other contracts (which regularly involves processing sensitive personal confidential information), task orders, purchase requisitions, and payment requests;
Oversees 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 (including interfacing with OGC on legal holds, processing destruction requests, and serving as the Department's IM Connect liaison);
Creates and maintains Department dashboards, including monthly budget reports, event tracking, and publications distribution, as well as assist with financial reporting and auditing;
Handles all tasks for the Department related to property management, corporate security, and technology (including hardware and software requisitions and migrations and general telecommunications support); and
Recommends and implements new processes and improves upon existing processes.
Assesses whether and when various publications need to be printed and oversees the print schedule, which involves internal collaboration within OIE and with Corporate Communication.
Handles and fulfills internal and external warehouse shipping requests for FINRA and Foundation print materials (brochures, toolkits, etc.)
Works with SVP and Corporate Communications to update publications both in print and for download
Supports projects that are critical to the Department and Foundation, including:
Serving as the frontline point of contact for the Military Project's myFICO program, answering questions from deployed military service members and making determinations regarding access to the myFICO tool
Providing support to FINRA's Dislocated Workers Project, including maintaining contact with state workforce agencies that help laid-off workers manage the financial impacts of job loss, handling requests for resources, updating state-specific information, and recommending changes to senior management; and
Working with FINRA ERGs, Technology, and external contractors on translating FINRA and Foundation materials into Spanish.
Manages incoming calls for SVP and prioritizes messages and other correspondence;
Schedules appointments, including conference calls, video conferences and in person meetings, for the Department head and Foundation project leads, often with multiple internal parties as well as outside groups and officials, assuring that appropriate materials are available for meetings and arranging all meeting logistics as applicable (building security clearances, video conferencing, food and beverages if necessary);
Greets visitors with appointments, and provides information and assistance;
Handles all calls to the Department phone line as well as emails to InvestorEducation@finra.org and other Department or Foundation boxes, screening correspondence and directing/delegating the assignment of calls and correspondence to appropriate staff;
Provides sophisticated calendar management for the SVP;
Makes complex arrangements for travel, including international destinations (which occasionally involves obtaining visas), investor forums, conferences, off-site meetings, and other events and addresses any last minute changes or cancellations;
Tracks expenses and prepares expense reports for executive and, at times, members of the Foundation Board and guests at Foundation Board meetings;
Prepares correspondence and other written materials from verbal direction, softcopy, or from knowledge of company policy or procedures; and
Files correspondence and other records or forwards documents for storage.
May assist with the preparation and editing of PowerPoint presentations.
Provides other related administrative support of a highly sensitive and confidential nature.
Leads or participates in special projects, as requested.
High school diploma or equivalent. Additional education or training preferred.
Ten years of related experience as an office manager, administrative assistant, executive assistant, or similar responsibilities.
Significant experience utilizing Microsoft Office applications such as Word Excel, Access, and PowerPoint.
Significant experience utilizing travel and expense systems such as Concur.
Experience providing administrative support to a senior executive is preferred.
Proficiency in Spanish preferred.
Ability to prioritize inquiries and requests while troubleshooting conflicts and exercise good judgment in a variety of situations with little guidance.
Ability to maintain confidentiality and handle sensitive information with a high level of discretion.
Ability to accomplish a wide variety of complex assignments concurrently with minimal supervision.
Excellent written and verbal communication.
Excellent administrative, and organizational skills.
Work is normally performed in an office environment.
Occasional travel (typically 50 miles or fewer) may be required.
Rarely requires overtime.
Work environment includes high productivity expectations and tight deadlines.
To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.
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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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.
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.
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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.
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