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HR Associate - Human Resources - Rockville, MD - Contractor Conversion at FINRA

Posted in Human Resources 30+ days ago.

This job brought to you by eQuest

Type: Full-Time
Location: Rockville, Maryland

Job Description:

We Work to Protect Investors. Join our Team.

The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our HR Associate opening in Rockville, MD. To be considered for this position, please submit your resume through our career site at – no phone calls, please.

Job Summary:

This position is a shared resource between the Training Group and Diversity & Worklife.  The HR Associate provides a high level of administrative and technical support to FINRA employees and managers.  Because of the variety of program and project support tasks – strong organizational skills, superior communication skills both written and oral, excellent attention to detail, and a proactive work ethic are required.


Essential Job Functions:

Essential Job Functions: Diversity and WorkLife

Supports the administration of HR - Diversity and WorkLife programs. This includes, but is not limited to:

  • Responding to employee questions on Diversity and WorkLife programs and policies.

  • Full cycle event logistics support to include:

  • location, participant and catering scheduling;

  • ordering, printing, shipping of meeting supplies and materials; and,

  • AV and technology requirements

  • Program administrative support including program roster maintenance; preparation of meeting materials; taking, transcribing, archiving and organizing meeting notes; and, collecting and reporting on program evaluation data.

  • Program marketing support to include developing draft content for use on company intranet and other communications tools.

  • Research and data coordination in support of program maintenance, recordkeeping requirements and external award applications.

  • Compliance program support to include upkeep and maintenance of organization-wide labor posting requirements.


Essential Job Functions: Training

  • Respond to employee questions on Training programs and policies

  • Provide logistical support of events, meetings, and training programs – including:  registering participants, tracking participation, ensuring program materials are accurately prepared, scheduling rooms, setting up rooms, arranging catering, coordinating logistical details with external vendors, property management, and Telecomm 

  • Marketing – support marketing of programs including designing content for FINRAnet and other communication formats (posters, flyers, emails, etc.); maintaining calendar/posters/flyers during the year to accurately reflect training schedule

  • Research and coordinate external award applications

  • Transcribe, organize and archive meeting notes

  • Collect and report on program evaluation data

  • Serve as point of contact for regional training sessions and provide course summaries for regional management

  • Online learning – work with vendors and internal LMS support team to troubleshoot employee issues; monitor license usage

  • Learning Management System (LMS) – including handling enrollment issues for all internal instructor-led and online programs.  Proactively monitoring LMS enrollment data for classes not filling or overflow registrations. 

  • Add or cancel training programs as necessary.

  • Manage Training Group's financial flows including preparing contracts, PRs, and Amendments; preparing monthly/quarterly financial analyses, forecasts and year-end accruals; processing invoices; and maintaining tracking spreadsheets. 

  • Process no-show penalties after each class and submit to Finance

  • Tuition Investment Program – process tuition reimbursement applications and handle related inquiries as a part of the tuition investment program including: checking applications for completeness, outstanding documentation, annual dollar limits, and adherence to the written policy. 

  • Work closely with Payroll on monthly and annual reconciliations for quality assurance. 

  • Suggest policy or FAQ edits to ensure employees have an accurate understanding of the program.

  • Serve as a resource and back up to other team members as well as the rest of the HR staff.

  • Assist with production of the annual Learning & Development Resource Guide – update course and schedule information and publish the catalog on FINRAnet each December.

Education/Experience Requirements:

  • Bachelor’s degree or equivalent combination of education and work experience plus a minimum of two years administrative experience, preferably in Human Resources.

  • Working knowledge of HR Management Systems (e.g., Workday), SharePoint-based intranet, and online survey tools.

  • Expert knowledge of Microsoft Office suite, specifically:  Outlook, Word, Excel, and PowerPoint.

  • Strong interpersonal, oral and written communication skills and collaboration skills.

  • Superior organization and time management skills with proven ability to prioritize and execute against multiple projects simultaneously under tight deadlines, while maintaining outstanding attention to detail and customer service.

  • Experience with federal contractor recordkeeping requirements and data analysis a plus.


Working Conditions:

  • Normal office conditions. 

  • Occasional local travel may be required.

  • Working in the training space will require light lifting of course materials.

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 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 Information

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.

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.


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

Search Firm Representatives

Please 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 Employer

All 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.

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