Senior Specialist - Records Management at FINRA in Rockville, Maryland

Job Description:

This position manages several key Records Management Programs, including FINRA Records Program Audits, Records Policy, and the annual enterprise-wide Records Policy Certification & Training Program. In addition, this position manages Records Management Board approved initiatives and oversees the daily operational management of the Enterprise Records Unit. This position is also responsible for managing all documentation from Records-related policy committee and Records Management Board meetings, including the Board kit. Manage operational Records Management activities, including providing guidance to other Records staff, and developing interpretative documentation for the Program. This position serves as an escalation point for policy interpretations and vendor escalations. This position also provides input on performance reviews as well as mentoring the Specialist and/or Associate Specialist. This position is a Tier II escalation point that handles more complex Records issues, including policy interpretation.

Essential Job Functions:

• Perform activities as directed by the Records Management Board initiatives.


• Manage day to day operational requirements of FINRA Records Program to ensure service levels are met and activities are successfully executed.


• Maintain the FINRA Records Policy and FINRA Records Procedures.


• Develop and maintain the Information Operations Records Management Procedures.


• Assist in the development of recommendations and presentations to the FINRA Records Board and related subcommittees on current Records issues or enhancements to the Program.


• Manages FINRA's Record Destruction process across all departments including enforcing policy requirements and act as a point of escalation.


• Builds relationships with the Records Management community including Records Board members, Information Owners, and Records Managers.


• Perform as a final reviewer for Department Records Procedures to ensure compliance.


• Ensure standard work processes for the operational activities of the Enterprise Records Unit are enforced and documented for compliance.


• Develop and conduct corporate records training for business units.


• Participates in development of business continuity plans as related to FINRA Records Program.


• Mentors Enterprise Records staff.


• Responsible for Tier II escalation point that handles more complex Records issues.

Other Responsibilities:

• Participate in development of business continuity plans as related to FINRA Records Program.

Education/Experience Requirements:

• This position requires a minimum of five or more years of demonstrated experience in managing operational programs. 


• Demonstrated experience in product evaluation; application planning and enterprise level implementation of automated enterprise records management systems helpful. 


• Related degree required. 


• Excellent communication skills required.

Working Conditions:

• Work is normally performed in an office environment.


• Occasional travel may be required.


• Some overtime may be required.

#LI-Hybrid

To be considered for this position, please submit an application.

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 also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program 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.

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

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