Director, Corporate Records - Rockville, MD Job Listing at FINRA in Rockville, MD
We Work to Protect Investors. Join our Team.
FINRA is seeking a well-qualified individual for our Director, Corporate Records opening in Rockville, MD. To be considered for this position, please submit your resume through our career site at www.finra.org/careers - no phone calls, please.
The Director of Corporate Records (DCR) is responsible for senior level oversight of FINRA's Records Management Program. With guidance from the FINRA Records Management Board, the DCR will write Records policy that encompasses requirements across the enterprise that meet SEC and state rules/laws and FINRA's requirements for full record life cycle implementation. This position will develop, maintain and implement organization-wide records management policies and procedures, ensure department compliance to FINRA's records policies and procedures, and, in general, are responsible for guiding and auditing departments' Records Managers to ensure compliance with FINRA's Records Procedures and Policy. The DCR serves as FINRA's senior operational expert on records management issues and ensuring full records life cycle implementation. The DCR will have an in-depth understanding of the records management discipline and related technology solutions that support FINRA's records management principles. This position provides operational leadership to FINRA's solution for transforming the organization to electronic records management. The DCR will recommend changes to organization-wide and department policies and procedures to address changes in records management requirements, implement best practices, and to improve the operational effectiveness and efficiency of FINRA's Records Management Program.
Essential Job Functions:
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 www.finra.org/careers 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.
Please note: 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. As standard practice, employees must also complete FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.
The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.
FINRA's independent regulation plays a critical role in America's financial system and touches virtually every aspect of the securities business-from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.
FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.
In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.
Find out more about us and how we work-and view our current openings-at www.finra.org/careers.
Search Firm Representatives
Please 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 Employer
©2012 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
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