Associate Director, Ombudsman's Office, FINRA, Rockville, Md
http://finra.taleo.net/careersection/external/jobdetail.ftl?job=000636
Job Description
Associate Director - Ombudsman - Rockville, MD
Job Number:
000636)
Description
We Work to Protect Investors. Join our Team.
FINRA is seeking a well qualified individual for our Associate Director opening in Rockville, MD. To be considered for this position, please submit your resume through our careers site.
No phone calls please.
Job Summary:
The Ombudsman's Office (OO) is a neutral and confidential resource for member firms and their employees, public investors, and any other business or individual who interacts with FINRA to voice their concerns about operations, enforcement, or other FINRA activities or staff. The Associate Director is responsible for conducting reviews and investigations related to complaints received by the Office of the Ombudsman, as well as working with senior managers to ensure appropriate resolution to any issue that arise.
Essential Job Functions:
* Independently conducts comprehensive reviews and investigations in order to substantiate or nullify complaints received by the office by reviewing industry rules and regulations (e.g. FINRA, SEC, etc.); conducting a review of relevant documents received from other FINRA departments or outside parties; conducting interviews of FINRA staff and other individuals; and thoroughly documenting investigative processes and findings.
* Independently evaluates all inquiries to determine the appropriate referral department or resolution and captures detail records of inquiries, complaints, and investigations in the department's case tracking and reporting system.
* Monitor and review cases assigned to other departments in order to ensure appropriate resolution and that appropriate policies and procedures have been followed.
* Proactively identifies patterns and systemic issues that may need to be addressed by senior management, as well as provide regular and ad-hoc reports that identify trends, risks and on-going work status.
* Makes recommendations on areas of responsibility where policies, procedures, and practices should be created or improved.
* Escalate to the Ombudsman, the SVP of Internal Audit or the Office of the CEO any issue that may require review, action or input from a member of FINRA's senior leadership team.
* Partners in the development of the Ombudsman Office Case Tracking and Reporting System, a system used to track all inquiries and complaints received by the Office, including complaint details, progress notes, report of findings, resolution summaries, and to generate statistical, trend and executive management reports.
Other Responsibilities:
* Represents OO at FINRA and industry conferences.
* Works with the Ombudsman team on the development and documentation of departmental processes and procedures that guide the ongoing activities of members of the Office.
* Special Projects as assigned.
* Maintains strict confidence and neutrality while performing duties and responsibilities and strictly adheres to the OO's Standards of Practice.
Qualifications
Education/Experience Requirements:
* Bachelor's degree and a minimum of five years experience in a compliance, analytical or investigative role.
* Strong knowledge of securities industry rules or relevant securities industry experience.
* Proven ability to interact with senior management, up to and including the CEO and Board of Governors.
* Demonstrated ability to work independently to simultaneously handle multiple complex situations.
* Exceptional oral and written communication skills.
* Strong analytical skills.
* Proficient in the use of MS Access and/or other database tracking systems.
Working Conditions:
* Normal office environment, including up to 25% travel.
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 career site, please type www.finra.org/careers in 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 & welfare benefits, and an incentive bonus, FINRA offers immediate participation and vesting in a 401(k) with company match. You will also be eligible to participate in an additional FINRA funded retirement contribution; tuition reimbursement 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.
About FINRA
The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,700 brokerage firms, about 167,000 branch offices and approximately 633,000 registered securities representatives.
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. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.
FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.
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.
Find out more about us and how we work-and view our current openings-at www.finra.org/careers.
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
©2011 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
Job Description
Associate Director - Ombudsman - Rockville, MD
Job Number:
000636)
Description
We Work to Protect Investors. Join our Team.
FINRA is seeking a well qualified individual for our Associate Director opening in Rockville, MD. To be considered for this position, please submit your resume through our careers site.
No phone calls please.
Job Summary:
The Ombudsman's Office (OO) is a neutral and confidential resource for member firms and their employees, public investors, and any other business or individual who interacts with FINRA to voice their concerns about operations, enforcement, or other FINRA activities or staff. The Associate Director is responsible for conducting reviews and investigations related to complaints received by the Office of the Ombudsman, as well as working with senior managers to ensure appropriate resolution to any issue that arise.
Essential Job Functions:
* Independently conducts comprehensive reviews and investigations in order to substantiate or nullify complaints received by the office by reviewing industry rules and regulations (e.g. FINRA, SEC, etc.); conducting a review of relevant documents received from other FINRA departments or outside parties; conducting interviews of FINRA staff and other individuals; and thoroughly documenting investigative processes and findings.
* Independently evaluates all inquiries to determine the appropriate referral department or resolution and captures detail records of inquiries, complaints, and investigations in the department's case tracking and reporting system.
* Monitor and review cases assigned to other departments in order to ensure appropriate resolution and that appropriate policies and procedures have been followed.
* Proactively identifies patterns and systemic issues that may need to be addressed by senior management, as well as provide regular and ad-hoc reports that identify trends, risks and on-going work status.
* Makes recommendations on areas of responsibility where policies, procedures, and practices should be created or improved.
* Escalate to the Ombudsman, the SVP of Internal Audit or the Office of the CEO any issue that may require review, action or input from a member of FINRA's senior leadership team.
* Partners in the development of the Ombudsman Office Case Tracking and Reporting System, a system used to track all inquiries and complaints received by the Office, including complaint details, progress notes, report of findings, resolution summaries, and to generate statistical, trend and executive management reports.
Other Responsibilities:
* Represents OO at FINRA and industry conferences.
* Works with the Ombudsman team on the development and documentation of departmental processes and procedures that guide the ongoing activities of members of the Office.
* Special Projects as assigned.
* Maintains strict confidence and neutrality while performing duties and responsibilities and strictly adheres to the OO's Standards of Practice.
Qualifications
Education/Experience Requirements:
* Bachelor's degree and a minimum of five years experience in a compliance, analytical or investigative role.
* Strong knowledge of securities industry rules or relevant securities industry experience.
* Proven ability to interact with senior management, up to and including the CEO and Board of Governors.
* Demonstrated ability to work independently to simultaneously handle multiple complex situations.
* Exceptional oral and written communication skills.
* Strong analytical skills.
* Proficient in the use of MS Access and/or other database tracking systems.
Working Conditions:
* Normal office environment, including up to 25% travel.
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 career site, please type www.finra.org/careers in 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 & welfare benefits, and an incentive bonus, FINRA offers immediate participation and vesting in a 401(k) with company match. You will also be eligible to participate in an additional FINRA funded retirement contribution; tuition reimbursement 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.
About FINRA
The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,700 brokerage firms, about 167,000 branch offices and approximately 633,000 registered securities representatives.
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. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.
FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.
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.
Find out more about us and how we work-and view our current openings-at www.finra.org/careers.
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
©2011 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
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