Associate Principal Analyst, Ombudsman

Financial Industry Regulatory Authority, Inc.
Rockville, MD
Apr 24, 2021
May 05, 2021
Full Time
To perform the Ombudsman function in an independent, neutral and confidential manner by receiving and addressing complaints from internal or external sources, conducting reviews of those complaints and recommending corrective actions when warranted.Essential Job Functions:Plan and conduct reviews of moderately complex complaints reported to or referred to the Ombudsman's Office, determine an appropriate resolutionPrepare well-organized, detailed and accurate case synopses and capture in the department's case management systemEffectively and efficiently manage daily workload to ensure the responsibilities are completed timely and within department's guidelinesMonitor and review complaint outcomes assigned to other departments to ensure resolution and compliance with appropriate rules, policies, and proceduresGuide and coach individuals to engage directly with FINRA departments to address concerns, including the use of formal resolution resources within the organizationConsult with the Ombudsperson or Director on problematic issues, patterns, and trendsAssist in identifying patterns and systemic issues that may need to be addressed by senior managementParticipate in the development of responsive suggestions to cure problematic patterns or trendsMaintain strict confidentiality and neutrality and strictly adheres to the Office's Standards of PracticeAdhere to International Ombudsman Association Code of Ethics and Standards of PracticeEducation/Experience Requirements:Bachelor's Degree in Business or Finance or equivalent work experienceMinimum of 5 years securities industry experienceDemonstrated ability to work independently with minimal supervisionAbility to multitask and manage multiple projectsStrong critical thinking, research, and analytical skillsExcellent oral and written communications skillsCompetence using a desktop computer with the full suite of office software applicationsAlternative dispute resolution or mediation experience a plusWorking Conditions:Normal office environmentExtended hours and travel may be requiredTo 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.Please note: If the "Apply Now" button on a job board posting does not take you directly to the FINRA Careers site, enter into your browser to reach our site directly.FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, 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 InformationFINRA'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.You can read more about these restrictions here.As standard practice, employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company's policy on nepotism.Search Firm RepresentativesPlease be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.FINRA is an Equal Opportunity and Affirmative Action EmployerAll qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person's relatives, friends or associates.FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans. (C) 2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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