Job Description:

FINRA is dedicated to protecting investors and ensuring the integrity of America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations. We have an exciting opportunity for a Senior Office Manager, Investor Education:

The Senior Office Manager provides operational, programmatic, and administrative support for the Office of Investor Education (OIE) (“Department”), and provides comprehensive support and confidential assistance to the Senior Vice President (SVP) of Investor Education and members of the Board of Directors of the FINRA Investor Education Foundation (Foundation) under limited supervision by the SVP.

Essential Job Functions:

Operational Support

• Processes Department and Foundation grant agreements, partnership agreements, other contracts (which regularly involves processing sensitive personal confidential information), task orders, purchase requisitions, and payment requests;


• Oversees access to FINRA systems for Department staff, implements procedures under FINRA’s Information Privacy and Protection Policy (IPPP) Guidelines, and manages records pursuant to FINRA and Departmental procedures (including interfacing with OGC on legal holds, processing destruction requests, and serving as the Department’s IM Connect liaison);


• Creates and maintains Department dashboards, including monthly budget reports, event tracking, and publications distribution, and also assists with financial reporting and auditing;


• Handles all tasks for the Department related to property management, corporate security, and technology (including hardware and software requisitions and migrations and general telecommunications support); and


• Recommends and implements new processes and improves upon existing processes.

Program Support

• Assesses whether and when various publications need to be printed and oversees the print schedule, which involves internal collaboration within OIE and with Corporate Communication;


• Handles and fulfills internal and external warehouse shipping requests for FINRA and Foundation print materials (brochures, toolkits, etc.);


• Works with SVP and Corporate Communications to update publications both in print and for download; and


• Supports projects that are critical to the Department and Foundation, including:
  
  
  • Serving as the frontline point of contact for the Military Project’s myFICO program, answering questions from deployed military service members and making determinations regarding access to the myFICO tool;
  
  
  • Assisting with requests concerning the Professional Designations database on finra.org; and
  
  
  • Working with FINRA ERGs, Technology, and external contractors on translating FINRA and Foundation materials into Spanish.
  
  
  
  

Administrative Support

• Manages incoming calls for SVP and prioritizes messages and other correspondence;


• Schedules appointments, including conference calls, video conferences and in person meetings, for the Department head and Foundation project leads, often with multiple internal parties as well as outside groups and officials, assuring that appropriate materials are available for meetings and arranging all meeting logistics as applicable (building security clearances, video conferencing, food and beverages if necessary);


• Greets visitors with appointments, and provides information and assistance;


• Handles all calls to the Department phone line as well as emails to InvestorEducation@finra.org and other Department or Foundation boxes, screening correspondence and directing/delegating the assignment of calls and correspondence to appropriate staff;


• Provides sophisticated calendar management for the SVP;


• Makes complex arrangements for travel, including international destinations (which occasionally involves obtaining visas), investor forums, conferences, off-site meetings, and other events and addresses any last-minute changes or cancellations;


• Tracks expenses and prepares expense reports for executive and, at times, members of the Foundation Board and guests at Foundation Board meetings;


• Prepares correspondence and other written materials from verbal direction, softcopy, or from knowledge of company policy or procedures; and


• Files correspondence and other records or forwards documents for storage.

Other Responsibilities:

• Complies a weekly newsletter to highlight upcoming Department initiatives and deadlines.


• Provides other related administrative support of a highly sensitive and confidential nature.


• Leads or participates in special projects, as requested.


• May assist with the preparation and editing of PowerPoint presentations.

Education/Experience Requirements:

• High school diploma or equivalent. Additional education or training preferred.


• Ten years of related experience as an office manager, administrative assistant, executive assistant, or similar responsibilities.


• Significant experience utilizing Microsoft Office applications such as Word Excel, Access, and PowerPoint.


• Significant experience utilizing travel and expense systems such as Concur.


• Experience providing administrative support to a senior executive is preferred.


• Proficiency in Spanish preferred.


• Ability to prioritize inquiries and requests while troubleshooting conflicts and exercise good judgment in a variety of situations with little guidance.


• Ability to maintain confidentiality and handle sensitive information with a high level of discretion.


• Ability to accomplish a wide variety of complex assignments concurrently with minimal supervision.


• Excellent written and verbal communication.


• Excellent administrative, and organizational skills.

Working Conditions:

• Work is normally performed in a hybrid office environment.


• Occasional travel may be required.


• Work environment includes high productivity expectations and tight deadlines.

For work that is performed in CA, Washington, DC, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

California: Minimum Hourly Rate $37.94, Maximum Hourly Rate $70.63

Washington, DC: Minimum Hourly Rate $37.94, Maximum Hourly Rate $67.65
Colorado/Hawaii: Minimum Hourly Rate $32.96, Maximum Hourly Rate $58.84
New York, NY: Minimum Hourly Rate $39.52, Maximum Hourly Rate $70.63
Washington State: Minimum Hourly Rate $32.96, Maximum Hourly Rate $67.65

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

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 Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations. 

Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance.  Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.  FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits. 

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

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.

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 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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