Operations Specialist, Enforcement (R-004320)

Company: FINRA (Financial Industry Regulatory Authority) -
Location: Rockville
Posted on: June 20, 2022

Job Description:

FINRA's Department of Enforcement (Enforcement) is tasked with investigating potential securities violations and, when warranted, bringing formal disciplinary actions against firms and their associated persons.

The Operations Specialist (Operations Specialist) provides critical support to the Senior Director & Chief of Staff and the Enforcement Operations team by leading a number of reporting, procedural and quality control projects for the Enforcement Department. The Operations Specialist role is primarily to streamline operations and procedures, ensure timely responses to inquiries and oversights and develop and enhances reporting.Essential Job Functions:

Updates and develops departmental procedures and manuals with the Operations Team, the Enforcement Chief of Staff and the Counsel to the Head of Enforcement.
Conduct Quality Assurance (QA) reviews with moderate supervision. Review and analyze programmatic areas, independently demonstrating responsibility and expertise primarily through analysis and presentation of operational-based quality standards. Proactively identify and escalate notable trends in workflow or operations to increase departmental efficiency and effectiveness.
Assist with oversights conducted by the SEC and other regulatory agencies, by gathering documentation, identifying and coordinating relevant staff and their information.
Assist with Enforcement responses to Internal Audit, including identifying and gathering documents and responsive information.
Assist with general Operations reporting and detailed analysis to meet data and information requests. Prepare and present reports relating to Enforcement statistics, Regulatory Service Agreement client business, and industry activities and trends.
Train Enforcement staff on project-based work, particularly relating to updated procedures and best practices, as needed.
Maintain an intermediate-level understanding of Enforcement's subject matter, systems, and procedures.

Other Responsibilities:

Ensure all assigned activities are completed according to prescribed policies and standards.
Report on status of assigned tasks or projects.
Other special projects, as required.

Education/Experience Requirements:

Bachelor's degree and a minimum of five years of relevant experience. Law degree and experience in a regulatory or legal environment strongly preferred but not required.
Strong written and verbal communication skills.
Keen organizational skills with exceptional attention to detail.
Ability to work quickly on multiple time-sensitive matters.
Must function effectively in a team environment and work with others to meet deadlines.
Demonstrated ability to communicate and interact at both senior and junior levels inside and outside the company.
Fluency with MS Office applications such as Word, PowerPoint, and Excel required. Knowledge of electronic case management programs preferred.

Working Conditions:

Work is normally performed in an office environment.
Occasional travel and extended hours may be required.

Keywords: FINRA (Financial Industry Regulatory Authority) - , Rockville , Operations Specialist, Enforcement (R-004320), Other , Rockville, Maryland