Administrative Specialist, Public Offering Review

The Administrative Specialist in the Corporate Financing’s Public Offering Review (POR) department performs a wide range of functional and administrative support. This is professional-level work where the incumbent works under direct supervision and guidance.

Essential Job Functions:

• Creates and maintains reports to capture and track significant work not reportable from filing and investigative systems.
• Triages, assigns and maintains records of all new deals for POR staff review. Alerts management of any significant issues.
• Manages POR’s incoming and outgoing central email communications from filers.  Ensures all requests are routed and answered.  Escalates issues, as needed.
• Develops and disseminates POR reports to management, staff and stakeholders across FINRA.
• Schedules, prioritizes, and organizes meetings and events (logistics and on-site assistance) and prepares agendas. Prepares presentation materials, meeting minutes, status updates, and action items when appropriate.
• Develops and maintains POR’s SharePoint site.
• Reviews and updates shared files/folders which include records and non-records.
• Makes travel arrangements and prepares itineraries and travel expense reports for staff.
• May perform other specialized regulatory functions, under the direction and supervision of the staff assigned, relative to reviews and investigative matters.
• Supports management with research, ad hoc projects and other deliverables as assigned.

Education & Experience Requirements:

• High school diploma plus a minimum of five (5) years of industry experience, or a bachelor’s degree in business, finance, or related field.
• Intermediate level of proficiency in Microsoft applications and ability to effectively navigate multiple applications and systems.
• Strong verbal and written communication skills and interpersonal and organizational skills.
• Ability to accurately facilitate the timely execution of assignments.
• Ability to work with sensitive and confidential information.
• Ability to multi-task and work independently.

Working Conditions:

• Hybrid work environment.
• 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 Salary $68,400, Maximum Salary $126,600

Washington, DC: Minimum Salary $68,400, Maximum Salary $121,200

Colorado/Hawaii: Minimum Salary $59,500, Maximum Salary $105,500
New York, NY: Minimum Salary $71,400, Maximum Salary $126,600
Washington State: Minimum Salary $59,500, Maximum Salary $121,200

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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.

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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