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Senior Analyst, Corporate Actions Transparency Services

FINRA

Rockville, MD
30+ days ago
Rockville, MD
30+ days ago

The Corporate Actions Analyst performs a variety of specific duties depending on the section to which assigned, generally including assisting in the day-to-day operational functions of the OTC market in the processing of various Corporate Actions.

This is entry-level professional work in which incumbents perform their assigned roles, develop job-related skills, and work under direct supervision.

Essential Job Functions:

  • Reviews and analyzes corporate action submissions regarding dividends, bankruptcies, liquidations, rights offerings, redemptions, splits, name changes and trading symbol changes for Over The Counter companies.
  • Utilizes computer resources and software applications for managing and tracking cases
  • Assists Member Firms, SRO's, Issuers, Exchanges, American Depository Receipt Banks, other FINRA departments, and Data Vendors
  • Contributes to the development and enhancement of section policies and procedures
  • Works with senior staff and management regarding subsequent course of action to be taken
  • Maintains the relevant databases that support the operation of the marketplace.
  • Maintain cases including all relevant documentation in CRM Application and ensure resolution within allotted timeframe.
  • Confers with senior staff and management as needed for guidance on complex issues.
  • Performs research, reading, and consultation in order to maintain substantial knowledge of the rules, regulations and guidelines that apply to the type of analysis being performed.

Education/Experience Requirements:

  • Bachelor's degree or equivalent in finance, law, business, economics or equivalent discipline.
  • One, preferably two years, related industry experience in a regulatory or financial markets environment is a plus.
  • Competency using a desktop computer with the full suite of office software applications.
  • Solid communication skills and excellent internal/external interpersonal skills.
  • Ability to work under pressure.
  • Attention to detail is essential.
  • Ability to handle multiple projects/assignments simultaneously with competing priorities.

Work Conditions:

  • Work is normally performed on-line in an open office environment.
  • Rotating work schedule requires ability to work both an early and late schedule.
  • Occasional travel may be required.
  • Extended hours may be required.

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.

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.

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.

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 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

All 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.

©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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Technical & Operations Director

Capital One Hall

West McLean, VA
21 days ago
West McLean, VA
21 days ago

POSITION: TECHNICAL AND OPERATIONS DIRECTOR

DEPARTMENT: PRODUCTION

REPORTS TO:  GENERAL MANAGER

FLSA STATUS: EXEMPT

 

Summary

 

ASM Global, the world’s leading venue management and services company, has an excellent and immediate opening for the position of Technical and Operations Director - ASM Global/ Capital One Hall. Under general direction of the General Manager the position serves as the Senior Production and Operations member of the facility and supervises all Back of House and Front of House full-time and part-time personnel in the delivery of services to users, clients and visitors.  Additionally, this position oversees and manages all stage productions at Capital One Hall including but not limited to Main Hall, Black Box, Rooftop Amphitheatre and all Technical aspects of Food and Beverage functions in various areas of the Complex.

 

 

Project Description

 

Capital One Hall is a multi-venue theater complex presently under construction at Capital One Center, located on the campus of Capital One headquarters in Fairfax County in the Commonwealth of Virginia. Capital One Hall features a 1600 seat performance hall, a 250 seat black box, a rooftop park encompassing a 200 seat amphitheater and an authentic Biergarten. The venue encompasses a spectacular Grand Lobby and Terrace, both spaces perfect for unique performances, pre-show activities, smaller musical acts, corporate gatherings and social events. This extraordinary, state of the art facility is located directly off the silver Metro line making it easily accessible locally and out of Washington D.C. proper. The anticipated performance season will run 12 months a year and will host a diverse, eclectic mix of entertainment including live music concerts, comedic acts, festivals and will proudly host many Fairfax County theatrical and symphonic groups including but not limited to organizations such as the Fairfax Symphony Orchestra, Washington West Film Festival and Ravel Dance.

 

Capital One Hall is owned by Capital One and will open in the Fall of 2021 and will be managed by ASM Global, a Los Angeles based company and a world leader in facility management who will operate this extraordinary complex in the best interest of its client, Capital One.

 

 

 

 

Essential Duties and Responsibilities

 

  • Coordinates and supervises in-house crew, stage labor and other technicians (including those not in the direct employ of the facility) manages all on stage productions at Capital One Hall including advancing shows, providing event estimates and producing the events on show day.
  • Manages all in-house operations and production personnel to fulfill technical rider requirements and front of house staffing needs
  • Oversees and/or manages all performance related systems, IT components and Physical Plant of the complex in cooperation with outside vendors.
  • Implements and updates Capital One Hall Operation and Production rules, regulations, policies and procedures.
  • Handles booking of crew for events.
  • Coordinates the Operations activities with other departments as well as event and non-event related contractors to assure facility readiness and smooth operation of events, including ADA compliance.
  • Supervises setup and changeover for the Complex
  • Manages all Public Safety, Security, Custodial Service and Parking needs for the Venue
  • Oversees work schedules and payroll for Operations and Production labor
  • Coordinates the budgeting, purchasing and scheduling of stage equipment repair and maintenance.
  • Develops, maintains and adheres to departmental budgets
  • Assists in developing Annual Capital Budgets for the Facility recommends a capital plans for repairs and improvements to the facility.
  • Coordinates the operational activities with other departments and event related contractors to assure facility readiness and smooth operation of events
  • Implements and updates facility rules, regulations, policies and procedures
  • Provides clear, concise, and timely communication of directives to other departments
  • Support maintenance efforts of the Physical Plant
  • Provides yearly inventory of all equipment
  • Investigates, analyzes and resolves operational problems and complaints
  • Negotiates with vendors, unions, contractors and/or service providers, promoters and Artist’s representatives.
  • Develops and implement preventive maintenance schedules, emergency procedures, safety and Risk Management policies in compliance with all Corporate and governmental regulations
  • Coordinates and monitors special projects, such as construction, remodeling or expansion. Plans and directs outside vendors/contractors work to assure compliance with contracts and safety requirements
  • Adheres to ASM/SMG’s reporting policies

 

 

 

Supervisory Responsibilities    

       

Directly supervises production, crew, security, front of house and related event staffing.  Carries out supervisory responsibilities in accordance with ASM Global’s policies and applicable laws. Responsibilities include interviewing, hiring, and training employees; planning, assigning, and directing work; appraising performance; rewarding; disciplining employees in conjunction with Human Resources; addressing complaints and resolving problems.

 

 

Qualifications

 

  • Experienced in direct advancing, facilitation, and executing of multiple performance genres including but not limited to: Broadway, Orchestral/Symphonic, Dance, Theater, Film ,Rock/Popular, Festivals, Broadcast and corporate events.
  • Strong background in all areas of Production and Operations and must be technically savvy in all areas of stage related technical equipment
  • Ability to support the installation and purchasing of sound and light equipment.
  • General knowledge of Facility physical plant operations including HVAC, electrical, plumbing and IT
  • Be familiar with the principles and techniques of managing front of house and back of house operations and staffing related issues.
  • Background in developing departmental budgets including capital expenditures for an Entertainment venue
  • Oversee OSHA standards and training.
  • Meet the physical demands of the job which include being able to get in and around the facility (requires personal mobility), lifting, carrying, moving, climbing, working from various heights and moderate to loud noises.
  • Work effectively under pressure and/or stringent schedule and produce accurate results
  • Organize and prioritize work to meet deadlines.
  • Remain flexible and adjust to situations as they occur.
  • Follow oral and written instructions and communicate effectively with others in both oral and written form.

 

              

 

Education and/or Experience    

  • Bachelor’s Degree in Arts Management or related technical training with a minimum of 8 years’ experience with production management in an entertainment organization club, theater, arena or equivalent.
  • Proficiency in sound and/or lighting design preferred as well as operation of the newest technology.
  • Minimum of 5 years supervisory experience required.
  • Touring experience a plus
  • Experience with advancing production and working directly with world class artists.
  • CAD experience a plus.
  • Knowledge of OSHA guidelines and training experience.
  • Experience with front of house venue security, ushers, and patron management
  • Experience creating Security and Emergency Management Programs. (SEMP)

 

 

Skills and Abilities

 

  • Organization of production for a multi venue facility.
  • Superior negotiation skills
  • Ability to create a positive work environment.
  • Ability to problem solve quickly and effectively.
  • Trade skills a plus, (electrical, plumbing, rigging, etc.)

 

 

Certificate, Licenses, Registrations

 

  • Must be licensed and insured to operate a motor vehicle in the Commonwealth of Virginia.
  • ESTA Certification a plus

 

 

Computer Skills  


Proficient in Microsoft Office and equivalent venue management software.

 

 

Physical Demands

 

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

 While performing the duties of this job, the employee is regularly required to move around the facility; to stand for long hours during events; occasionally required to kneel, climb to high walkways or balance. Must have the ability to communicate effectively during a strenuous schedule.

 

 This position may require work inside or outside of the building, and work in adverse conditions as needed by events. The employee must occasionally lift and/or move up to 50 pounds.

 

Note

 

The essential responsibilities of this position are described under the headings above.  They may be subject to change at any time due to reasonable accommodation or other reasons.  Also, this document in no way states or implies that these are the only duties to be performed by the employee occupying this position.

 

****  TO APPLY ******  YOU MUST APPLY THROUGH THE BELOW LINK

 

Send Cover letter, resume and any supporting materials or past event photos to:

 

 https://recruiting.adp.com/srccar/public/RTI.home?c=1152751&d=ExternalCareerSite&r=5000686806406&_fromPublish=true#/

 

ASM Global is an Equal Opportunity/Affirmative Action employer, and encourages Women, Minorities, Individuals with Disabilities, and protected Veterans to apply. VEVRAA Federal Contractor.

 

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Lead PEGA Developer at Washington, DC for Long Term

KMM Technologies, Inc.

Washington, DC
5 days ago
Washington, DC
5 days ago
KMM – an ISO 9001:2015, CMMI Level 2 certified company – provides high-quality IT consulting services and innovative solutions by using the most effective and modern technologies. We have a core group of Subject Matter Experts with certifications and immense experience in successfully delivering mission-critical solutions. We have extensive industry experience in the financial, insurance, Health IT, media, marketing, retail, and government markets. We have a proven track record in understanding client’s business challenges, determine a customer-focused solution, and provide the technical implementation and documentation to bring it to fruition.

8-11 Years Experience

Development experience with PEGA Rules and BPM engine

7+ years of experience in PEGA PRPC and 4+ years in production support

Strong Ability to find the root cause of Application radical behaviors and proactively prevent them by adding critical alerts

Solid experience in production application support, incident tickets, change and release management

Administer and manages all aspects of Pega PRPC software and related applications.

Monitors performance of critical applications and resolves operational problem in accordance with corporate guidelines

Looking for 3-5 years of experience as System Engineer development and administration background, equal experience supporting

Critical IT applications using Pega PRPC versions 7.x/8.x . And experience with Pega tools AES, SMA, Admin Studio, PAL and CI/CD Pipeline.

Understanding of underlying Pega infrastructure including Hazel cast, Elastic Search and Kafka streams. Experience troubleshooting problems related to

Pega applications , database issues and other infrastructure anomalies. Experience supporting Pega applications running WebSphere/Tomcat.

Knowledge of Pega Architecture, class structure, design and coding best practices are preferred.

Experience in full PRPC implementation cycle including enterprise Class Structure design and Ruleset design

Strong understanding of PEGA Case Management and Application security features

Good understanding of PRPC Flows, Flow Actions, Harnesses, Sections, Activities, Decision rules and Declarative rules

Excellent understanding and experience of Pega best practices, guardrails and coding standards

Experience in Integration of Pega applications to other technologies using SOAP,JAVA & SQL

Strong expertise in UI, Process flows, SOAP Connectors and services, Rule resolution, Activities

Extensive Debugging Skills in PRPC using with TRACER, Clipboard and Rules Inspector

Automation Experience with PEGA API/Utilities is a plus

Experience of working in agile methodology

PEGA PRPC 6.2 higher platform experience

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Program Oversight Manager

Systems Support Alternatives (SSA Inc.)

Washington, DC
24 days ago
Washington, DC
24 days ago

Prime Response Inc. (PRI), in coordination with SSAI, is seeking a full-time Program Oversight Manager to assist with corporate oversight and quality control for 7 federal contracts in the National Capitol Region. This position will split time between working from home and commuting to onsite contract locations multiple times per week to visit with customers, project managers, and personnel.


Duties of the Program Oversight Liaison include, but are not limited to:

·       Weekly site visits with customers and project managers;

·       Oversight and quality control within projects;

·       Professional primary interface between PRI and the government customer;

·       Serve as the primary point of contact when there are customer issues related to quality, customer service, or contractor accidents and mishaps on site;

·       Set-up and lead meetings, follow up on action items, and balance multiple work items at once;

·       Coordinate with project managers and the government customer to discuss project activities, schedules, workloads, potential problems and their resolution;

·       Coordinate daily operations of PRI contracts with the local team;

·       Ensure that projects are properly scheduled, approved, and documented;

·       Maintain or establish partnerships and alliances with customers, vendors, and contractors;

·       Organize, attend, and participate in stakeholder/client meetings, as needed;

·       Assist project managers with priorities and resources across the National Capitol Region;

·       Conduct internal quality audits to ensure the required processes are being followed;

·       Assist in modifying/creating new Project Management Office processes for project deliveries;

·       Use MS Office Suite to create well-formatted reports and presentations;

·       Track and follow-up with project managers and customers on decisions and action items;

·       Track and coordinate deadlines and submissions of unique as well as recurring programmatic events;

·       Work with teams to identify project performance bottlenecks and work with project managers and leads to address and resolve them;

·       Assist with change and configuration management and the communication of change notification to appropriate stakeholders;

·       Promote companywide implementation of industry best practices;

·       Understand, accept, and deliver any program management related task on time and in the required format;

·       Effectively communicate contract issues to PRI management and the government customer;

·       Devise ways to improve the customer experience, including resolving problems and complaints;

·       Ensuring that PRI staff has the knowledge and ability necessary to accomplish their duties independently;

·       Assist with personnel hiring;

·       Report and proposal writing to include Business Development input;

Requirements/Qualifications:

·       A Bachelor of Science (B.S.) or Bachelor of Arts (B.A.) Degree is required;

·       Military veteran is preferred but not a requirement;

·       Formal Project / Program Management Experience over logistics is required;

·       Demonstrated strong Independent (at home) work ethic;

·       Self-starter and driven to complete tasks, especially when working from home;

·       Over five years of experience working with the Federal Government in administration, project management, customer facing assignments, or related experience in a related field;

·       Logistics/Loading Docks/Warehouse experience preferred;

·       Outgoing and open communicator with advanced customer service skills;

·       Advanced communication skills (written and verbal);

·       Project/Program experience to understand Statements of Work (SOW) and the successful execution of contract requirements;

·       Demonstrated experience with basic data organization, creating tables and charts in MS Excel;

·       Demonstrated track record of delivering tasks and assignments complete and on-time;

·       Keen eye for details, and meticulous on quality of performance;

·       Strong understanding of business metrics and reporting;

·       Strong leadership skills and knowledge of all work requirements;

·       Knowledge of conflict management;

·       Critical thinking and problem solving skills;

·       Ability to manage multiple projects at once;

·       Advanced planning and organizational skills;

·       Ability to adaptable to change;

·       Highly proficient in MS Office;

·       Supervisory experience directing multiple tasks and managing activities assigned to personnel;

·       Experience supervising a wide range of complex and routine support tasks;

·       General knowledge of Government policies and procedures.


PRI is an Equal Opportunity Employer and does not discriminate on the basis of race, religion, color, sex, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status or any other basis covered by appropriate law. All employment is decided on the basis of qualifications, merit, and business needs.


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Counterintelligence Analyst III - Vetting/RDA

G2 Global Solutions, LLC

Washington, DC
12 days ago
Washington, DC
12 days ago

POSITION: CI Analyst (Vetting/RDA) III
LOCATION: Washington, DC
CLEARANCE: TS/SCI

Overview:

G2 Global Solutions, LLC. is seeking an experienced Counterintelligence Analyst III  to provide support to the Department of Health and Human Services (HHS), Office of National Security, Division of Personnel and Classified Information Security in its mission to provide policy and oversight for personnel security and suitability background investigations and adjudications, national security clearances, information security, and security awareness programs including the international traveler/foreign visitor awareness program.
Principle Responsibilities will include, but are not limited to the following:

  • Proactively identify and assess potential threat information, recommend mitigation efforts, and incorporate findings into formal reports
  • Conduct analysis in support of operational activities to assemble, correlate, evaluate and assess information concerning CI threats against DHHS personnel, programs, information systems and/or facilities.
  • Analyze information received to identify intelligence gaps and specify collection requirements to answer these gaps via appropriate collection means.
  • Support counterintelligence inquiries under the direction of the counterintelligence team lead.
  • When appropriate, prepare intelligence information reports.
  • Preserve the chain of custody of evidence received while supporting counterintelligence inquiries, to include but not limited to IT audit data and findings, using proper physical, operational, and information security measures.
  • Evaluate threats to nascent technology under development within the HHS enterprise, experience with Research, Development and Acquisitions (RDA) counterintelligence analysis preferred.
  • Conduct counterintelligence briefings to HHS personnel as required.

Required Skills:

  • A minimum of (10) years of related experience supporting counterintelligence analysis as an agent or analyst.

Desired Skills:

  • Experience providing intelligence analysis support to vetting and/or research, development, and acquisitions.

Required Education:

  • Master’s degree in a relevant
Desired Certifications:
  • N/A

 

About G2 Global Solutions:

G2 Global Solutions, LLC. (G2) is an 8(a) certified Service-Disabled Veteran- Owned, and Economically-Disadvantaged Woman-Owned Small Business. We are an agile and responsive low-risk option for all of our government clients and corporate teaming partners. G2 has a strong reputation of providing highly experienced cleared personnel who support a variety of government agencies within the Intelligence Community (IC). G2 is fully committed, prepared, and ready to provide superior support services designed to consistently outperform and exceed expectations.  Some of our services include:

  • Administrative & Personnel Support
  • Testing and Evaluating
  • Strategic Planning
  • Operational Support
  • Technology Development
  • Program and Project Management
  • Cyber Exploitation
  • Information Technology
  • Intelligence & Analysis
  • Training & Education

Requisition # G2-2021-AC0141

G2 Global Solutions is an Equal Opportunity/Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, creed, sex, sexual orientation, pregnancy, gender identity, national origin, disability, or protected Veteran status.

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Proposal Manager

Segue Technologies, Inc.

Arlington, VA
4 days ago
Arlington, VA
4 days ago

Position Summary:

Segue Technologies, Inc. seeks a Proposal Manager to provide full lifecycle leadership and support to proposals and similar response efforts (RFP, RFQ, RFI, RWP). The successful candidate will be a hands-on participant in proposal development to ensure the final product has the greatest chance of award. This is a full-time position. Due to COVID19 work restriction, this position will be remote until further notice. After COVID-19 restrictions are lifted this position will be on site at Segue’s HQ Arlington, VA 2-3 days per week and remote/from home 2-3 days per week.

Since our founding in 1997, Segue Technologies has worked as an IT partner to organizations to develop and enhance their mission-critical business systems. Segue is based out of Arlington, VA, with presence in 13 other states and DC. We provide custom software applications, solve data management problems, and support the evolution of the mobile workforce. Our compensation package includes: Competitive Annual Salaries, Profit-Sharing and Bonus Incentives, Paid Time Off that Increases with Seniority, Paid Holidays, Life and Disability Insurance, 401K Retirement Plan with Employer Contribution, Dental, Vision, and Health Insurance, Flexible Spending Account, Tuition and Training Reimbursement.

 

Job Duties and Responsibilities include but are not limited to:

  • Work with senior management, communicating with customers/partners, and being a leader in proposal process execution and response compliance and quality
  • Lead Agile proposal production process from kickoff through submission, ensuring compliant and compelling final volumes
  • Work closely with Program Managers and technical subject matter experts to plan, develop, and complete responses
  • Analyze solicitations and provide recommendations on proposal response approach to best meet/exceed the evaluation criteria
  • Plan response schedules and ensure milestones are met, planning contingencies when needed
  • Plan and coordinate data calls with partner companies
  • Lead internal and external status meetings for proposal efforts
  • Manage the proposal stock content (boilerplate) and templates, leverage these for initiating Segue response documents
  • Manage the review and revision cycles for proposal volumes, metrics tracking, compliance reviews, quality reviews, etc.
  • Review proposal inputs from Segue SMEs and teaming partners, providing feedback on gaps and areas for improvement
  • Lead the upkeep of Proposal Operations reference databases. Review to ensure complete and correct. Databases include Proposal Content, Graphics, Past Performance, etc.
  • Manage and update past performance reference data
  • Ensure submissions are accurate, complete, and compliant with RFP requirements and editorial specifications, as well as corporate quality and branding standards Oversee production and timely submission of electronic and hard copy proposals
  • Interpret RFP requirements for compliance mapping
  • Write lessons learned reports – collect and compile input
  • Additional tasks as required

 

Required Skills:

  • Bachelor’s degree in a writing intensive major, such as Communications, Marketing, English or Business, or equivalent education and experience
  • 5+ years in a Federal Government Contracting proposal role, demonstrating an ability to read and interpret a Request for Proposal (RFP), Request for Quote (RFQ) and Request for Information (RFI)
  • Ability to assist in the writing of technical responses to RFIs and RFPs
  • Experience independently managing the Proposal Life Cycle
  • Experience managing multiple proposal efforts simultaneously
  • Experience managing and training junior proposal personnel
  • Strong reviewing and editing skills, with document formatting and editing expertise using MS Office 365 tools (Word, Excel, PPT, Visio, TEAMS)
  • Demonstrated ability to quickly understand technical concepts
  • Excellent people skills - able to work with teams of varying sizes, technical abilities, and levels of authority with both internal corporate staff and external partners
  • Superior organizational, project, time management and resource planning skills
  • Ability to handle multiple projects in time sensitive environments
  • US Citizen able to obtain a Security Clearance

 

Desired Skills:

  • Experience producing basic proposal figures and images using MS Office 365 tool suite (Word, Excel, PPT, Visio)
  • Experience writing/editing in a professional capacity (IT services preferred)
  • Experience maintaining document libraries, task lists, and collaboration spaces in SharePoint/TEAMS
  • Experience working with Air Force proposals

 

Segue Technologies, Inc. is an Equal Opportunity/Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to sex, gender identity, sexual orientation, race, color, religion, national origin, disability, protected Veteran status, age, or any other characteristic protected by law. Please visit our website, www.seguetech.com/careers, to submit an application.

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Military Program Manager, Arlington VA / Telework

Tiber Creek Consulting

Arlington, VA
3 days ago
Arlington, VA
3 days ago
Tiber Creek is seeking a Program Manager to telework / work at our military customer location (after COVID restrictions are lifted) in Arlington VA. In accord with contract duties and deliverables, you’ll provide functional direction, subject matter analysis and expertise (SME) of Army National Guard personnel management, and oversee operations and daily tasks of information technology (IT) support services working with technical team and collaborating closely with our client. Management of IT services and solutions and vigorous dedication to improving the performance of current program initiatives will ensure your success in this position. You’ll work with our Agile software implementation team to obtain, translate, and address customer requirements for solutions that use Microsoft SQL Server and ASP.NET. as they design and create user interfaces and customer products; assess data quality; and create and validate business logic. You must be versatile, adaptable, make pivotal decisions for the project and help manage deliverable quality, content, timeline, cost, contract activities, risk, and personnel.
In addition to top industry pay, we offer generous medical, dental, short and long term disability insurance benefits, flexible spending, 401(k), ample vacation/leave time, training/skills building opportunities and a great work environment.
Apply To: https://tibercreek.com/careers/apply
Location: Telework / Arlington VA
Education: B.A. or B.S. degree. Four years of relevant experience may be substituted for degree.
Experience: 10 years of IT experience including 4 years directing a project.
Clearance: Active DOD Secret Clearance.
Related Experience Should Include:
• IT project management for a DoD client (Army or National Guard preferred) collaborating with product team and customers on a complex multi-component system with a graphical user interface and database comprising millions of records.
• Well versed in U.S. Army IT strategic planning, management, policies, directives, doctrine, regulations, tools, and methodologies.
• Implementation of Earned Value Management techniques.
• Proficiency in an automated program management tool.
• Dedication to best practices, quality management, and continuous process improvement, demonstrated by Capability Maturity Model Integration (CMMI) Level 3 or above appraisal success and ISO 9001:2015 audit certification.
• Process management, engineering, and improvement.
• Executing business process re-engineering and/or improvement projects, supporting mission-oriented business functions or research (e.g., data assessments, functional evaluations, gap analyses, etc.) and related applications or automated systems.
• Interacting with high-level clients, making independent presentations and program/policy recommendations to senior government officials and/or corporate counterparts.
• Microsoft Office suite experience required; Microsoft SQL Server Management Studio and Visual Studio experience desired.
Job Duties:
• Responsible for oversight and reporting on all aspects of program performance (i.e., technical, contractual, administrative, financial) and full-scale client support.
• Point of contact with the Contracting Officer's Representative (COR) and Contracting Officer (KO) to take responsibility for the performance of the work and project management.
• Develop, maintain, and implement a Program Management Plan that guides the performance of all activities performed on the contract.
• Generate task descriptions and track derived requirements in support of project management.
• Interface with corporate resources to ensure timeliness and quality of all services, products, and deliverables.
• Provide guidance and facilitate communication with the team and work directly with the customer to ensure requirements translate to technical directions. Assist the customer in defining requirements, attend design meetings, attend/host product demonstrations, respond to and answer ad hoc requests, and support the project team as the on-site project representative.
• Continually improve program and process efficiencies and effectiveness.
• Perform technical scope and risk assessments, assessments for change requests, resource estimates, and monthly financial analyses.
• Respond to client inquiries, providing the proposed course of action and estimated time to delivery.
• Monitor customer help tickets, address customer inquiries, and resolve issues.
• Recommend design and analytic approaches to customers, manage multiple complex tasks with tight deadlines and proactively collaborate with a variety of subject matter experts.
• Produce strong proposal responses to customer-released RFP contracts and/or task orders.
Physical Demands and Work Environment:
• Usual office working conditions and standard office equipment.
• Required to sit for long periods of time using a personal computer.
• Some light physical effort required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions of this position.
• Some travel may be required.
Minimum Qualifiers:
• Candidates must have a current DoD Secret clearance.
• Candidates must be local to the DC/MD/VA area.
• Unable to work with 3rd party candidates or agencies.
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Logistics and Warehousing Project Manager

Systems Support Alternatives (SSA Inc.)

Arlington, DC
13 days ago
Arlington, DC
13 days ago

PRI in coordination with SSAI is seeking a Logistics and Warehousing Project Manager to manage a long-term government contract in Arlington, VA. The Project Manager will be responsible for the management of services supporting programs in the areas of warehousing, supply room, mail, property accountability, asset management, furniture installation, moving services, and general administrative support.


Duties include but are not limited to:

  • Management of the contract with full authority to act on behalf of PRI on all matters.
  • Responsible to the government customer for the coordination and execution of assigned support services.
  • Serve as the primary point of contact for customers and maintains positive relationship with critical customers.
  • Provide overarching operational management control, including directing all levels of workers during times of heavy demand, special projects, or crisis.
  • Provide technical support with ongoing Government agency programs to manage facilities and resource allocation to ensure full coverage of logistics support services.
  • Metrics development and tracking of our performance including running reports and analytics.
  • Utilizing and training other supervisors, employees in automated systems including Microsoft Office, PRI’s SharePoint, and automated training systems.
  • Deliverable development and tracking.
  • Formalized Continuous Process Improvement.
  • Develops written communications to customers, standard operating procedures, process documentation and other written work products.
  • Must have sufficient technical knowledge and awareness of details to be able to recognize when technical problems are developing in the various disciplines and to initiate corrective actions.
  • Ensures that all contract deliverables are turned in on time and to government satisfaction.
  • Oversees onsite COVID compliance and ensure responses to COVID incidents follow corporate procedures.
  • Directs the work of employees assigned to the project.
  • Jointly assesses project/task status with customer.
  • Advises customer in matters of program administration.
  • Provides full-service task management duties to manage and oversee assigned contractors and personnel.
  • Enforces quality control program and culture to established standards.
  • Enforces safety and health program and culture to established standards.
  • Perform contractor reviews and coordinate daily and long-range task requirements.
  • Ensures staffing requirements and minimum coverage hours are met.


Requirements

·       15 years of industry experience overseeing facility/logistics management of at least 1 contract of similar complexity.

“OR” Bachelor’s Degree in Business Administration in Operation Management; Logistics and Supply Chain Management or Supply Chain Management Logistics with 5 years of industry experience in overseeing facility/logistics management of at least 1 contract of similar complexity.

“OR” Active Project Management Professional (PMP) certification with 5 years of industry experience in overseeing facility/logistics management of at least 1 contract of similar complexity.

·       Demonstrated ability to foster and maintain crucial relationships with military customers.

·       Must have advanced knowledge of warehouse operations and logistics principles.

·       Must be able to communicate effectively, both verbally and in writing.

·       Military Veteran and/or Federal government contract experience is highly preferred.

·    Extensive experience in supervising at least 20 employees, which includes assessing employee training needs, assisting employees in skill building, providing performance feedback, identifying the appropriate staffing mix, hiring qualified candidates, and troubleshooting staffing concerns.

·       Advanced, hands-on experience with logistics and warehousing quality control.

·       Must have an understanding of Business Development (BD) and contribute to the onsite BD processes.

·       Must have a valid driver’s license from a state of the United States.


PRI is an Equal Opportunity Employer and does not discriminate on the basis of race, religion, color, sex, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status or any other basis covered by appropriate law. All employment is decided on the basis of qualifications, merits, and business needs.



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Specialist, AR Support

Standard Bank

Simmonds
9 days ago
Simmonds
9 days ago

Job Details

Operations: a range of essential and complex services to ensure processes across the bank work as effectively and efficiently as possible

Job Purpose

The overall purpose of the role is to be responsible for operational processing for the markets we support in the Rest of Africa (ROA) as per the service level agreement.  The role will cover the following key areas. Settlements, Corporate Actions, Foreign exchange processing and Billing.

Key Responsibilities/Accountabilities

Provide market surveillance for Rest of Africa Operations

  • Monitor all settlements and Corporate Events and keep clients/markets informed accordingly. Ensure control reports are actioned and signed off where applicable.
  • Ensure the day to day tasks are completed by the in country team and report anomalies.
  • Monitor settlements and ensure client positions are updated on their positions
  • Monitor all upcoming corporate actions events which includes equities, warrants, bonds. All events need to be verified against at least two sources and authorised in a maximum time of 24 hours after announcement by the Issuer.
  • Ensuring the effective Processing/booking of FX in line with market requirement is completed accurately and on time
  • Ensure daily reconciliation of cash and suspense accounts are balanced daily.  Any exceptions greater than five days or greater in value ZAR 50K must be escalated to the manager
  • Ensure daily reconciliation of positions of securities held in the CSD against our core custody system Bancs
  • Assist in improving straight through processing (STP) rates per market
  • Assist in creating an awareness of risks and discuss implications in connect sessions and initiative training interventions
  • Ensure each market understands the root cause of the problem for not STP
  • Support in country operations with all due diligence requirements from an operational perspective
  • Understand the regulatory framework of each market so effective support can be provided
  • Assist in implementing the regulatory changes that have an operational impact

Processing of settlements and Corporate Actions

  • Ensure Settlements across instruments are settled timeously
  • Keep clients informed of any failed trades and ensure status updates are provided with sufficient time for the client to take appropriate action
  • Ensure clients are informed of settlements
  • Effective processing of Corporate Actions events in Bancs and ensuring the payment is accurate and on time.  Notify the clients of any discrepancies
  • Actively monitor, capture and authorise all upcoming corporate actions events.      This includes equities, warrants, bonds. All events need to be verified against at least two sources and authorised in a maximum time of 24 hours after announcement by the Issuer.
  • Action and control all aspects relating to the end to end processing and settlements of all equity, bonds and money market instruments.
  • Assist manager in achieving the division’s goals by ensuring that a cost effective, high quality service is provided to our customers, by effectively controlling tasks within the settlements section.
  • Identify areas of risk and ensure that proper controls are in place to eliminate / minimize risks and losses.
  • Identify areas of risk and ensure that proper controls are in place to eliminate errors / minimise risks and losses.

Processing of the HUB transactional and corporate action processing in South Africa

  • Ensure that all proxy and corporate events have been loaded and authorised.
  • Ensure that all trade processing for the HUB is completed on a daily basis
  • The measurement will be competed at the end of each day in the form of system reports around processing. ( Non Settled report)
  • Ensure that Standing Instructions are in place for our Hub clients
  • Timeous creation of accounts for both Securities and Cash
  • Ensure cohesion between Swift support and the Hub team is seamless
  • The operational checklist must be completed on a daily basis - CODAC
  • Confirmation of the MT548 and MT564 messages are sent out
  • Set up instruments per market with data management
  • Manage cash accounts ( change in details, account number) when required
  • Understand the setup of the account structure for the Hub
  • Ensure the correct system rules are in place
  • Assist with the matured instruments and corporate actions on Bancs
  • Ensure monthly billing is updated and sent out as per the SLA
  • Ensure monthly MI statistics are provided to the line manager
  • Assist line manager in achieving the division and department goals by ensuring that a    cost effective, high quality service is provided to our customers, by effectively planning,    managing ,organising and controlling the notification aspect of corporate actions.
  • Ensure that any market/ regulatory changes are communicated to the line manager so appropriate action that be taken

Reconciliation of securities and cash transactions

  • Daily securities reconciliation across asset classes where possible
  • Daily cash reconciliation, suspense accounts must be balanced daily

Processing of clients invoices, collections and debtors managements/Billing management  

  • Monthly management of invoices, collection and debtors
  • Close out any queries raised prior to the next billing run

Processing of Foreign exchange transactions

  • Execute against FX requests from clients
  • Execute against clients SSI FX requests
  • Confirm rates used back to the client
  • Ensure that the market cut offs are met

Management of operational risks and controls

  • Review and be familiar with the Risk Management Framework as guided by operational risk
  • Actively review and update the RCSA
  • Daily review of the control reports and alerts
  • Monthly reporting of KRI and MI to operations control
  • Proactively escalate current risks and identify any additional risks that would cause a breach.
  • Ensure CODAC is completed on a daily basis and any variance is reported to the line manager
  • Ensure operational losses and penalties are kept at zero

Management and tracking of client related queries

  • Actively monitor weekly/monthly trends and record information on Sharepoint
  • Ensure that the agreed turnaround time on processing is done with the agreed timeframe
  • Ensuring the correct person is responding to the query. 
  • Ensuring we report system downtime to head of ops
  • Produce monthly reporting of queries
  • Monitoring the Qman inbox and ensuring that no items are unread
  • Management of administrative related activities

 

Service Level Agreements :

 

  • Ensure that workload is effectively planned, organized, and controlled in order to meet deadlines set out by the market and the client.
  • Any breach in SLA needs to be highlighted to the line manager and formally managed
  • Review the timelines stipulated in the Regional Custody Network in line with the market changes
  • Review the timelines stipulated in the Hub agreement in line with market and internal changes

Client service level agreements:

  • Ensure awareness of clients’ needs at all times and that these needs are always met as stipulated in the Safe Custody Agreements. 
  • Reporting will be controlled in monthly KRI documents which are required by operations control.
  • Improve service delivery to the client and ensure there is a mutual understanding of the client SLA.

 

Compliance: 

 

  • Ensure compliance to all procedures to avoid penalties and losses to the bank
  • Ensure monthly compliance exams are written
  • Any compliance breach must be documented and reported within a 24hr period of the breach occurring
  • Budgets – Actual in line with the budget ( Individual level)

 

Operational user manuals:

 

  • Review process-flows and procedure manuals regularly
  • refer any necessary changes and discuss feasibility with manager prior to implementation
  • Complete end to end understanding of the following areas
  • Rest of Africa and South Africa as it relates to:
  • Settlements, Corporate Actions, FX processing, Cash Reconciliation, CSD reconciliation, SSI set up
  • Ensure the operational gaps are added to the tracking spreadsheet

 

Strategic Objectives:

 

  • The year’s objectives are set prior to each start of the year and updated on EPM.  Midyear appraisals will detail if there is any variation and will be included on the EPM review.
  • Be flexible enough to change direction in line with the market changes
  • Assist with the deployment of the cash interface – Across Africa
  • Assist with the deployment of the broker alledgement – Where applicable
  • Assist with the deployment of the CSD reconciliation – Across Africa
  • ·

ROA training:

 

  • Initiate training and attend all scheduled training / workshops.
  • Assist with the training manuals
  • Be multi skilled by familiarizing yourself with processes in other areas within Investor Services and gain broader knowledge.  
  • Monthly training and user manuals must be stored on sharepoint and will be measured accordingly
  • Formal training should take place once a month at a minimum.
  • Detailed understanding of corporate actions
  • Detailed understanding of settlements
  • Detailed understanding of FX processing
  • Travel may be required from time to time depending on market need

Call reports:

 

  • Action ‘call- reports’ by providing feedback, input, and follow up on action plans, call reports, client profiles, courtesy calls feedback and Global Custody Survey and draw up action plans.  Load details on Sharepoint
  • Ensure weekly meetings are attended
  • Action items must be closed prior to the following meeting

 

Management Information- data/ stats:

 

  • Report substantial increase/decrease of volumes to the manager.
  • Assist with the tracking of the not settled trades per market
  • Assist each market with the CA diary reports
  • All nostro out of balances need to be reported to head of operations and actively managed

 

Key Behavioral requirements:

 

  • Apply Brilliant Basics to the client engagement model, ensure a distinct and consistent service offering as required by key and franchise clients - KFC and non-  KFC clients
  • Roll-out  Central securities depository (CSD) Holdings reconciliation across Rest of Africa (ROA) markets
  • Provide prompt and clear feedback to all clients as requested by them
  • Create the environment within which  regulatory fines and operational losses can be limited on a monthly basis to ZERO
  • Be responsible for, and initiate own development and career planning.
  • Display teamwork.
  • Ensuring the consistency model is adhered to
  • Live the Standard Bank Values.
  • Action and control all aspects relating to securities processing operations across the Rest of Africa.
  • Assist the manager in achieving the department’s goals by ensuring that a cost effective, high quality service is provided to our customers, by effectively controlling tasks within the area.
  • Identify areas of risk and ensure that proper controls are in place to eliminate / minimize risks and losses.
  • Focus all change initiatives on client service
  • Control all aspects relating to securities processing operations whilst ensuring an error free environment.
  • Be familiar and provide input upon review of the Disaster Recovery Plan and Business Continuity Plan
  • Ensure DR procedure document is understood

 

Preferred Qualification and Experience

Diploma, Business, Operations
Diploma ( Financial services)
Matric

Preferred: Diploma or degree in Finance 
Degree in marketing or business operations
AML Competency

Business Support 
5-7 Years

Investment Banking
3-4 Years

Knowledge/Technical Skills/Expertise

Data Management
Records and Archive Management
Business Administration Skills
Workspace Management

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Analyst, Portfolio Operations (MD, Bethesda)

ProFund Advisors LLC

Bethesda, MD
19 days ago
Bethesda, MD
19 days ago

Position Summary:

Operations Analyst is the third step in the Portfolio Operations career track at ProShares. The Operations career track begins at entry level with Associate Specialist, Specialist,  Analyst,  Senior Analyst, and Manager.

Each step in the PO career track contains a similar series of skills, experiences, and characteristics that are performed at an increasing level of understanding and responsibility as you progress through the track.  The Operations Analysts play an integral role in the four essential job functions within the Portfolio Operations Department;

  • Derivative Operations- Derivatives play an important role in the management of our funds.  A strong focus of the operations department is to focus on post trade lifecycle events. The primary responsibilities are collateral management, both bilaterally and cleared, as well as the timely confirmation and settlement of all OTC post settlement lifecycle payments.
  • Trade Operations- Focus on physical settlement operations.  Trade Operations is responsible for the post execution process of confirmation, affirmation, settlements, TMPG claims, and class actions across a wide variance of products  
  • Corporate Actions- Manage and provide a high quality corporate action service in accordance with our standards of best practice.  Monitor corporate actions throughout the day to ensure proper action is taken and projection for T+1 are made.  Oversee security master data, and necessary changes are made.
  • Fund Accounting/ Reporting – Working closely with external fund accountants, ensure that internal records are in line with service providers.  Create and publish an independent shadow NAV.  Working closely with Portfolio Management, and brokers, monitor trade flow between OMS and IBOR to accurately project current Day NAV’s, and  T+1 IOPV projections

Essential Job Functions[1]:

Derivative Operations

  1. With direction from Team Lead, plays an integral role interacting with multiple internal partners and external parties including Repo, OTC, Swap Counterparties, and FCM’s
  2. Daily issuance and response of all bilateral and cleared margin calls.
  3. Escalation and dispute resolution on margin disagreements
  4. Process all Swap confirmations on a daily basis
  5. Process all ETF CR/RD confirmations on daily basis
  6. Monitor liquidity needs of portfolio managers, process collateral substitutions as needed
  7. Daily monitoring of counterparty exposure to support collateral service agreements (CSA), (MSFTA) and variation margin and initial margin (FCM) requirements for Futures and OTC.
  8. Familiarity with OTC Derivative Products, Foreign Exchange and Precious Metals back and middle office functions
  9. Working to learn and grasp an understanding of ISDA CSA and other margin related documentation

Trade Operations

  1. Day to day tasks including the post execution process of confirmation, settlement, TMPG claims, and class actions
  2. Process confirmations, research, and resolution of all fails, claims processing, and management reporting
  3. Work closely with dealers and custody relationships to foster an efficient workflow
  4. Investigate failing trades and pre-matching issues with brokers, custodians and internal department
  5. Daily trade affirmation of all physical trades, ensure proper trade flow from OMS through affirmation onto custodian for settlement.
  6. Report portfolio transactions

Corporate Actions

  1. With direction from Team Lead, capture the accurate and timely completion for processing of Corporate Actions Announcement Capture events
  2. Daily event capture, reconciliation and allocation of payment related to mandatory and voluntary event types.
  3. Working under the direction of Team Lead, gain an understanding of complex event terms, global market regulations, and practices Coordinate with such areas as Trading, Sales, Product control, & Credit to resolve inquiries and disputes
  4. Post and reconcile all mandatory and voluntary corporate actions within internal systems
  5. Complete the processing, research and collection of all corporate action related activity including, but not limited to: Cash Dividends, Stock Dividends, Stock Splits, Spin Offs, Cash & Stock Mergers, Tender Offers, Rights Subscriptions, Full & Partial Calls, and Maturities
  6. Accurate projection of T+1 actions
  7. Proper upkeep and management of the security master file, ensure proper changes, additions are made in a timely matter

Fund Accounting / Reporting

  1. Assist Team lead to calculate and process fund and account activities, e.g. supporting Net Asset Value (NAV) calculation, reporting and reconciliation, IIV calculation, reporting and reconciliation
  2. Support the review and validation of data
  3. Working alongside external fund accountants to validate NAVS, identify breaks, and quick resolution
  4. Daily reconciliation to identify breaks between internal reconciliation and fund accountants
  5. Reconcile end of day portfolio composition
  6. Verify net asset value of the portfolio
  7. Ensure timely delivery of portfolio performance and characteristics

 

[1] These statements are intended to describe the general nature and level of work involved for this job. It is not an exhaustive list of all responsibilities, duties and skills required of this job. To perform this job successfully, an individual must be able to perform each essential duty satisfactorily.  Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Posted

30+ days ago

Description

The Corporate Actions Analyst performs a variety of specific duties depending on the section to which assigned, generally including assisting in the day-to-day operational functions of the OTC market in the processing of various Corporate Actions.

This is entry-level professional work in which incumbents perform their assigned roles, develop job-related skills, and work under direct supervision.

Essential Job Functions:

  • Reviews and analyzes corporate action submissions regarding dividends, bankruptcies, liquidations, rights offerings, redemptions, splits, name changes and trading symbol changes for Over The Counter companies.
  • Utilizes computer resources and software applications for managing and tracking cases
  • Assists Member Firms, SRO's, Issuers, Exchanges, American Depository Receipt Banks, other FINRA departments, and Data Vendors
  • Contributes to the development and enhancement of section policies and procedures
  • Works with senior staff and management regarding subsequent course of action to be taken
  • Maintains the relevant databases that support the operation of the marketplace.
  • Maintain cases including all relevant documentation in CRM Application and ensure resolution within allotted timeframe.
  • Confers with senior staff and management as needed for guidance on complex issues.
  • Performs research, reading, and consultation in order to maintain substantial knowledge of the rules, regulations and guidelines that apply to the type of analysis being performed.

Education/Experience Requirements:

  • Bachelor's degree or equivalent in finance, law, business, economics or equivalent discipline.
  • One, preferably two years, related industry experience in a regulatory or financial markets environment is a plus.
  • Competency using a desktop computer with the full suite of office software applications.
  • Solid communication skills and excellent internal/external interpersonal skills.
  • Ability to work under pressure.
  • Attention to detail is essential.
  • Ability to handle multiple projects/assignments simultaneously with competing priorities.

Work Conditions:

  • Work is normally performed on-line in an open office environment.
  • Rotating work schedule requires ability to work both an early and late schedule.
  • Occasional travel may be required.
  • Extended hours may be required.

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.

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.

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.

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 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

All 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.

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Source: FINRA