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Senior Coordinator, Document Services

Company: Financial Industry Regulatory Authority, Inc.
Location: Rockville
Posted on: February 25, 2021

Job Description:

Rockville, MD (Job Posting) Perform operational processes in a high-volume production environment with service level agreements that include enterprise-wide document conversion services that ensure FINRA's compliance to SEA Rules 17a-1 and SEA 17a-6 (records management and destruction) and the FINRA Records Program, and which promote the reduction of FINRA's paper footprint across the organization. Perform activities that support requirements of SEA Rule 17f-2 (fingerprint rule) and the FINRA Fingerprint Plan. This position performs a variety of tasks that include: Document analysis and conversion, indexing of electronic Records to ensure availability and accessibility, processing of documentation from firms, resolving data errors related to transmissions to the Federal Bureau of Investigation (FBI), and customer support through Tier II calls and cases.Essential Job Functions:

  • Analyze and classify documents to develop the metadata that ensures proper classification of electronic documents. Ensure that electronic Records meet established criteria and provide guidance to FINRA departments on how to interpret metadata related to document conversion and ensure distribution of original hard copy work products to business units.
  • Facilitate vendor's onsite activities.
  • Properly safeguard documents which contain confidential information, such as Social Security numbers, criminal history record information (CHRI), and dates of birth by following the FINRA information privacy and protection (IPPP) policy, department policies, Information Security protocols and Department of Justice rules and regulations.
  • Analyze fingerprint transactions from individuals who meet the SEA17f-2 requirement and resolve fingerprint data-deficiencies which prevent FBI searches of CHRI.
  • Process fingerprint transactions using the Electronic Fingerprint Processing (EFP) application.
  • Assist in the Transfer Agent Fingerprint Management Program by completing all required tasks that support transfer agent compliance to SEC rules, which includes reviewing FBI dispositions, providing dispositions to firms, analyzing data within the SEC application to validate transfer agent status, reconciling checks to account for correct fees, and following IPPP policy requirements,
  • Conduct research on cases assigned to Document Services; identify root cause and implement corrective action.
  • Provide Tier II support for firms' inquiries related to document processing and fingerprint compliance, which includes researching cases to fulfill requests from firms on document status and responding to questions on fingerprint filing requirements related to Web CRD and Electronic Fingerprint System (EFP).
  • Assist in the FBI Name Check Process by completing all required tasks required by the FBI to identify individuals with illegible prints who have CHRI.
  • Scan documents into enterprise recordkeeping systems, ensuring that document conversion procedures are followed. Ensure routine maintenance of imaging hardware is performed.
  • Participate in Document Services User Acceptance Testing to identify and document coding issues prior to release deployment. Propose new system requirements that enhance usability or modify existing requirements.
  • Generate monthly statistics related to electronic documents, conversions, and deficiencies.Other Responsibilities:
    • Maintain essential skills by attending training programs and participate in required staff meetings.
    • Perform other duties as assigned.Education/Experience Requirements:
      • Three (3) years minimum of office work experience required with preferably one (1) year of that experience in document conversion solutions.
      • Strong communication skills required to provide customer care to firms.
      • Type 45+ words per minute.
      • Demonstrated proficiency with the use of word processing, databases, and spreadsheet computer programs.Work Conditions:
        • Work is normally performed in an office environment, frequent use PC and telephone.
        • Extensive use of Web CRD, IARD, Aspect, CRM, Web Xtender and EFP systems.
        • Occasional overtime may be required.To be considered for this position, please submit an application. 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 accommodation help line at 240.386.4865. 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 InformationFINRA'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 RepresentativesPlease 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 EmployerAll 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. 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. 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 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 operates from Washington, DC, and New York, NY, with other offices around the country. Find out more about us and how we work-and view our current openings-at www.finra.org/careers.

Keywords: Financial Industry Regulatory Authority, Inc., Rockville , Senior Coordinator, Document Services, Other , Rockville, Maryland

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