Associate Specialist, FINRA Support Center

The Associate Specialist in the FINRA Support Center is responsible for working with internal and external constituents to provide specialized technical support to Industry Members. The Associate Specialist applies analytical skills to conduct research and coordinate processing of requests and issues. This is professional-level work in which incumbents are introduced to their assigned roles, learning job-related skills, and working under close to moderate supervision.

Essential Job Functions:

• Interfaces with industry members, regulatory users, peers, management and others regarding potential business and technical issues related to the FINRA Support Center systems
• Intakes calls, researches, resolves, and documents issues Provides excellent internal/external customer service in various and distinct areas of registration responsibility.
• Responds to customer requests by providing functional and navigational support of FINRA Support Center systems.
• Assists firms with routine questions regarding credentialing, systems usage and issues.
• Confers with senior FINRA Support Center staff and subject matter experts for guidance on complex issues as appropriate.
• Documents all incoming customer inquiries as necessary per FINRA Support Center procedures and policies.
• Develops proficiency on registration rules.
• Utilizes computer resources and software applications as necessary.

Education/Experience Requirements:

• Bachelor’s degree preferably in Finance, Economics, or Business and a minimum three (3) years of professional experience; or an equivalent combination of education and experience
• Knowledge of relevant FINRA/SEC rules and regulations required.
• Excellent customer service skills.
• Excellent written and oral communication skills.
• Ability to interact with a variety of stakeholders such as Industry Members, SRO/SEC regulatory staff, and FINRA clients.
• Must demonstrate attention to detail, sound judgment, and solid organizational skills.
• Excellent analytical, interpersonal and communication skills, and a strong familiarity with Windows-based computer applications are essential.

Working Conditions:

• Work in a remote/hybrid office environment.
• Heavy use of PC and telephone.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, 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.

CA: Minimum Hourly Rate $28.62, Maximum Hourly Rate $52.54

CO/HI/MN/VT*: Minimum Hourly Rate $24.96, Maximum Hourly Rate $43.77

IL*: Minimum Hourly Rate $27.43, Maximum Hourly Rate $48.23

Jersey City, NJ/NY, NY: Minimum Hourly Rate $29.88, Maximum Hourly Rate $52.54

MD/Washington, DC: Minimum Hourly Rate $28.62, Maximum Hourly Rate $50.33

WA: Minimum Hourly Rate $24.96, Maximum Hourly Rate $50.33

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

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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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