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Coordinator
Financial Industry Regulatory Authority (FINRA)
Rockville, MD, United States
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Job Summary:
The OTC Coordinator performs various functions in support of the Form 211 filing process of the OTC Compliance team, to include monitoring, tracking, and reporting on the filings. The Coordinator interfaces with various internal systems to carry out the assigned job responsibilities and is responsible for the organization of all data and documents created in connection with the Form 211 process. This is skilled technical/administrative work that requires an individual with critical thinking skills, an ability to carry out tasks with minimal direction, and strong attention to detail.
Essential Job Functions:
Support of Form 211 Filing Process:
• Administer FINRA’s Form 211 filings intake process, to include entering pertinent information into relevant tracking systems, preparing staff analysis documents, and conducting and documenting rudimentary review of the form, filing data, and related information.
• Monitor status of outstanding firm responses; notify staff and update tracking logs upon receipt or when response deadline has been exceeded.
• Assist in the final processing of Form 211 filings, to include facilitating the issuance of a security symbol and providing a copy of the Form 211 to the relevant quotation facility.
• Process all requests for Form 211 filings and associated documents.
• Maintain logs of pertinent information from or related to Form 211 filings or the Form 211 review process.
Administrative Support:
• Act as the OTC Compliance team’s representative to internal external constituents by conducting initial screening of calls into the OTC triage unit, answering questions as appropriate and transferring callers to relevant analyst as needed.
• Ensure that questions are answered promptly, thoroughly, and accurately.
• Recommend process improvements and tool set enhancements.
• Works with other training staff to scope an implement changes. This may include changes to databases, report distribution methods, alignment of training processes, reports and documents with other production reporting and processes within the Division of Market Regulation and across FINRA.
• Organize and maintain section files.
• Prepare documentation for off-site storage in accordance with records retention policy.
• Assist analyst staff with routine tasks associated with closing matters related to completed filings.
• Handle special projects as assigned.
Qualifications
Education/Experience Requirements:
• High school diploma or equivalent
• Five to Seven (5-7) years of related administrative experience
• Working knowledge of office procedures, grammar, punctuation, and spelling
• Ability to work with sensitive and confidential information
• Advanced use of word processing, spreadsheet (Excel specifically), and presentation software
• Excellent organizational and verbal communication skills required.
Working Conditions:
• Work is normally performed in an office environment.
• Occasional travel may be required.
• Some overtime may be required.