Administrative Assistant, Enforcement

The Administrative Assistant (AA) performs a wide range of standard administrative duties. The AA receives guidance, mentoring and training from senior colleagues and his/her manager. The AA is required to have experience in the use of Microsoft Office applications.

Operational tasks include:

preparing correspondence and reports; records maintenance; gathering and preparing materials for use in presentations; scheduling meetings, trainings and other industry events as requested. Provides front desk coverage as needed.

Essential Job Functions:

The following list provides examples of the most (but not limited to) general functions for the position. Perform required administrative duties for the assigned group and provide backup assistance to the other AAs in the department as needed. Typing

• Responsible for typing and proofing of various documents. Correspondence
• Prepare and organize correspondence, materials, and presentations, etc. Litigation and court reporters
• assist attorneys and investigative staff with preparing for hearings such as with hearing kits. Schedule court reporter for on-the-record interviews as needed. Reports
• Produce reports as requested. Meetings
• Assist in the logistical coordination of meetings, on/offsite, luncheons and local office events. Training
• Serve as a liaison with Enforcement Training as needed; process registrations, track/record attendance, fulfill requests for training data, and provide general assistance as needed.

Assist with presentation room technology and setup.

Travel:

Arrange and/or assist with travel and expense reports, as requested.

Special Projects:

As requested. Demonstration of FINRA's values. Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.

Education/Experience Requirements:

High school diploma and a minimum two years of related administrative experience. Good organizational, interpersonal, teamwork and communication skills are required. Proficiency in Microsoft Office products including Word and Excel. Proven ability to work with sensitive and confidential information. Must be flexible with the ability to work independently and as part of a team. Basic critical thinking, research and quantitative skills Work Conditions Hybrid work environment, with defined in-person presence requirements. Occasional travel may be required. Some overtime may be required. For work that is performed in Los Angeles and San Francisco, CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate's skill set, level of experience, education, and market considerations.

Los Angeles, CA:

Minimum Hourly Rate $28.01, Maximum Hourly Rate $42.02

San Francisco, CA:

Minimum Hourly Rate $29.23, Maximum Hourly Rate $43.85

CO/FL/TX:

Minimum Hourly Rate $23.05, Maximum Hourly Rate $40.24

IL/PA:

Minimum Hourly Rate $25.35, Maximum Hourly Rate $44.25

MA/MD/VA/Washington, DC:

Minimum Hourly Rate $26.52, Maximum Hourly Rate $46.27

NY/NJ:

Minimum Hourly Rate $26.52, Maximum Hourly Rate $48.29 #LI-Hybrid To be considered for this position, please submit an application. Applications are accepted on an ongoing basis. 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. Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short

• and long-term disability, long-term care, business travel accident, disability and legal.

FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs. Time Off and Paid Leave

• FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year).

Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays. Based on full-time schedule 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 Employer All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law. 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 Employee Relations team at 240-386-4865 or by email at EmployeeRelations@FINRA.org. Please note that this process is exclusively for inquiries regarding accommodations in the application process. 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. ©2026 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.