Operations Specialist, Enforcement (R-004320)
Company: FINRA (Financial Industry Regulatory Authority) -
Posted on: June 20, 2022
FINRA's Department of Enforcement (Enforcement) is tasked with
investigating potential securities violations and, when warranted,
bringing formal disciplinary actions against firms and their
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.
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.
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
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
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
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