Administrative Assistant - New York, NY

Job Description:FINRA, created through the consolidation of NASD (National Association of Securities Dealers) and the member regulation, enforcement, and arbitration functions of the New York Stock Exchange, is currently seeking talented individuals for our opening for a Administrative Assistant in ourNew York, NYlocation. The Financial Industry Regulatory Authority (FINRA) is the largest non-governmental regulator for all securities firms doing business in the United States and is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services. Major Purpose of Job:The Administrative Assistant III performs a wide variety of tasks such as typing, formatting, and editing correspondence and reports; organizing and correcting computer-based records and files; organizing and preparing materials for use in presentations; scheduling meetings and events; assisting telephone callers and visitors; and providing related assistance to one or more officer or director. This is very highly skilled technical or administrative work in which incumbents are experience working in their assigned roles and working under direct supervision.Essential Job Functions:Provide the Directors with secretarial and administrative support:Type and format correspondence and reports.Organize and maintain computer and paper based records and files.Organize and prepare materials for presentations.Schedule meetings and events.Answer telephone calls, screen and route calls and take messages.Receive and route mail.Copy, collate and distribute documents.Greet visitors and input visitor information into building security system.Make travel arrangements, obtain tickets and prepare travel expense reports.Maintain Operations manual and DC Referrals log.Obtain office supplies for senior staff.Maintain vacation calendar. Provide support to the Group:Receive and file SEC referral letters, access requests and oversight reports.Track exams to be forwarded to the SEC and NFA and follow-up with examiner to obtain a copy of the report upon completion.Maintain file of NYSE reports on Broker/Dealer examinations. Maintain database of Access Requests, Audits, Quality Reviews, etc.:Input forms into database.File backup documentation. Provide backup for Director’s Executive Assistant. Provide support for District training:Assist in class registration process and other ad-hoc tasks. Respond to various employee inquiries:Utilize organizational knowledge to assist employees asneeded.Maintain phone list.Education/Experience Requirements:High school diploma or equivalent.A minimum of six years of related administrative experience.Knowledge of office procedures, grammar, punctuation, and spelling.Ability to work with sensitive and confidential information.Proficiency in the use of word processing, spreadsheet, and presentation software.Working Conditions:Work is normally performed in an office environment.Occasional travel may be required.Some overtime may be required.In addition to a competitive salary, comprehensive health & welfare benefits, and an incentive bonus, FINRA offers immediate participation and vesting in a 401(k) with company match; a company funded pension plan; tuition reimbursement 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. ABOUT FINRA: A new single SRO [Self Regulatory Organization] for the U.S. Securities Industry was created with the joining of NASD and NYSE Regulation, Inc. in July 2007. This new SRO is the largest self-regulatory organization for securities brokers and dealers in the world. FINRA streamlines regulation by eliminating dual-regulation that existed for 200 of the largest securities firms in the U.S. Come join us as we become a modern regulator by focusing our efforts not just on enforcement of rules, but on forward thinking activities such as member education, investor education, compliance training for industry firms and increased collaboration with other U.S. and International Regulatory bodies. FINRA is the largest non-governmental regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 5,100 brokerage firms, about 173,000 branch offices and more than 665,000 registered securities representatives. FINRA touches virtually every aspect of the securities business - from registering and educating all industry participants, to examining securities firms, enforcing both FINRA rules and the federal securities laws, and administering the largest dispute resolution forum for investors and member firms. FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services EOE/AA. M/F/D/V



Job Experience:A minimum of six years of related experience.Expected Travel Time: None