Specialist, Enterprise Records

The Specialist, Enterprise Records serves as a critical support resource for the Enterprise Records Unit, providing technical and operational support for the Electronic Records Management Automation (ERMA) system and the overall FINRA Records Program. This position manages records classification, lifecycle processes, and departmental coordination to ensure compliance with SEC Rule 17a-6 and support the enterprise-wide adoption of ERMA across Records Locations. Working under close supervision, the specialist handles sensitive and confidential records-related information and serves as a subject matter expert and escalation point for Records management issues. This role is essential for scaling ERMA adoption and ensuring consistent application of Records management practices across the organization.

Essential Job Functions:

• Assists departments in administering Records classification, Record Codes for existing, undefined, and new Records to appropriate Record Groups, Record Locations, and corresponding metadata within ERMA to ensure consistency, and maintain alignment with departmental Records Schedules.
• Trains and supports Records Community staff on ERMA functionality, Records management best practices, and compliance requirements to drive organizational adoption and competency.
• Manages Records lifecycle processes, including destruction workflows, ensuring Legal Holds are properly managed, and oversees Records Destruction processes in accordance with approved Records Schedules and SEC Rule 17a-6.
• Coordinates departmental Records Schedule changes are accurately and promptly reflected in corresponding systems including ERMA to ensure system adoption, and consistent Records management practices enterprise wide.
• Provides project management support for Records Management Board-approved initiatives and ERU projects. Assists with Records budget tracking, expense monitoring, and troubleshoots issues with ERU staff.
• Identifies and escalates Records management risks, process improvements, and compliance gaps to senior leadership; provides recommendations to support continuous improvement initiatives.
• Evaluates departmental compliance with Records Procedures and requirements; resolve Tier I and Tier II Records issues and serve as escalation point for Records program matters
• Demonstrates FINRA’s values.
• Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Education/Experience Requirements:

• Bachelor's degree in Business Administration, Records/Information Management, English, Communications, or related field and a minimum of three (3) years of related professional experience required; or an equivalent combination of education and directly related experience.
• Project management coordination experience required.
• Knowledge and technical skills related to project management, including ability to manage multiple projects concurrently and execute against tight deadlines in multiple areas with different requirements.
• Strong organizational, communication, and interpersonal skills
• Proficiency with Microsoft Office Suite

Working Conditions:

• Hybrid work environment with defined in-person presence requirements
• Some overtime may be required during peak Records processing periods or system implementations

For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations. 

 
CO/FL/TX: Minimum Hourly Rate $34.80, Maximum Hourly Rate $62.09

IL/PA: Minimum Hourly Rate $38.40, Maximum Hourly Rate $68.41
MA/MD/VA/Washington, DC: Minimum Hourly Rate $40.07, Maximum Hourly Rate $71.46

NY/NJ: Minimum Hourly Rate $40.07, Maximum Hourly Rate $74.57

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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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