Financial Industry Regulatory Authority - Boca Raton, FL
posted 16 days ago
Full-time - Mid Level
Hybrid - Boca Raton, FL
Religious, Grantmaking, Civic, Professional, and Similar Organizations
About the position
This position is an established individual contributor in Business Enablement, Member Supervision Operations, Procedures and Standards (MS OPS). This role works under moderate supervision to develop strategies to optimize and improve our business processes. This role will evaluate the program for areas of improvement, help to resolve complex issues, and support regulatory initiatives by partnering with key stakeholders. This role requires project management, relationship management, and a high level of attention to detail.
Responsibilities
- Assists in the strategic exploration and adoption of innovative solutions, working to develop improvement strategies linked to key business objectives that address program inefficiencies, through new processes, controls, or procedures.
- Maintains intermediate working knowledge of departmental functions and industry developments.
- Assists with facilitating departmental wide meetings to communicate updates and train staff on programmatic changes to processes, tools, controls, technology, policy/procedures.
- Develops educational content to ensure the effective adoption of initiatives.
- Develops and maintains working relationships across Member Supervision, throughout FINRA, and with other stakeholders, including the SEC, states, other regulatory agencies, and the industry.
- Assists senior staff with strategic objectives deliverables and issue remediation.
- Maintains and develops content on internal websites.
- Evaluate and analyze current process metrics and performance to identify areas requiring improvements.
- Collect and analyze operational and program-specific feedback as well as overall employee sentiment.
- Develop and/or source questions and content for the feedback by partaking in meetings seeking to identify patterns and trends and recommend action plans.
- Independently performs detailed analysis to identify key themes from outreach to deliver reports, talking points, or summaries for senior leadership on trends, issues, and recommend action plans.
- Supports the development and maintenance of operational metrics, providing insight into key performance and key risk indicators for senior management.
- Assists with, and at times leads special projects and ad hoc initiatives including, but not limited to, internal and external requests.
- Communicate project status and establishes clear lines of communication with stakeholders to coordinate activities and facilitate the sharing of important information.
- Create effective plans to manage project interdependencies and ensures that roles, responsibilities, and expectations are clearly defined and understood to ensure project deliverables are met.
- Demonstrates subject matter expertise and an ability to coach and train more junior colleagues in techniques, processes, and responsibilities.
Requirements
- Bachelor's degree in business or related field and a minimum of four (4) years of directly related securities experience, or an equivalent combination of education and experience.
- Knowledge of securities industry rules, regulations and guidelines required.
- Demonstrated understanding of regulatory/policy requirements, the impact on process and controls, and ability to succinctly document all elements.
- Exemplifies research/analytical skills.
- Excellent written and verbal communication skills, including interpersonal skills and presentation skills.
- Strong organizational, time-management, problem solving, and organizational skills are highly desired. Attention to detail is essential.
- Proficiency in Microsoft Windows-based software applications.
Benefits
- Comprehensive health, dental and vision insurance.
- Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment insurance.
- Short- and long-term disability insurance.
- Long-term care insurance.
- Business travel accident insurance.
- Disability and legal insurance.
- 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution.
- Tuition reimbursement.
- Commuter benefits.
- Adoption assistance.
- Backup family care.
- Surrogacy benefits.
- Employee assistance programs.
- Wellness programs.
- Generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days.
- Two volunteer service days.
- Paid holidays.
