Senior Coordinator, Document Services

Perform operational processes in a high-volume production environment with service level agreements that include enterprise-wide document conversion services that ensure FINRA’s compliance to SEA Rules 17a-1 and SEA 17a-6 (records management and destruction) and the FINRA Records Program, and which promote the reduction of FINRA’s paper footprint across the organization.

Perform activities that support requirements of SEA Rule 17f-2 (fingerprint rule) and the FINRA Fingerprint Plan. This position performs a variety of tasks that include : Document analysis and conversion, indexing of electronic Records to ensure availability and accessibility, processing of documentation from firms, resolving data errors related to transmissions to the Federal Bureau of Investigation (FBI), and customer support through Tier II calls and cases.

Essential Job Functions :

• Analyze and classify documents to develop the metadata that ensures proper classification of electronic documents. Ensure that electronic Records meet established criteria and provide guidance to FINRA departments on how to interpret metadata related to document conversion and ensure distribution of original hard copy work products to business units.
• Facilitate vendor’s onsite activities.
• Properly safeguard documents which contain confidential information, such as Social Security numbers, criminal history record information (CHRI), and dates of birth by following the FINRA information privacy and protection (IPPP) policy, department policies, Information Security protocols and Department of Justice rules and regulations.
• Analyze fingerprint transactions from individuals who meet the SEA17f-2 requirement and resolve fingerprint data-deficiencies which prevent FBI searches of CHRI.
• Process fingerprint transactions using the Electronic Fingerprint Processing (EFP) application.
• Assist in the Transfer Agent Fingerprint Management Program by completing all required tasks that support transfer agent compliance to SEC rules, which includes reviewing FBI dispositions, providing dispositions to firms, analyzing data within the SEC application to validate transfer agent status, reconciling checks to account for correct fees, and following IPPP policy requirements.
• Conduct research on cases assigned to Document Services; identify root cause and implement corrective action.
• Provide Tier II support for firms’ inquiries related to document processing and fingerprint compliance, which includes researching cases to fulfill requests from firms on document status and responding to questions on fingerprint filing requirements related to Web CRD and Electronic Fingerprint System (EFP)
• Assist in the FBI Name Check Process by completing all required tasks required by the FBI to identify individuals with illegible prints who have CHRI.
• Scan documents into enterprise recordkeeping systems, ensuring that document conversion procedures are followed. Ensure routine maintenance of imaging hardware is performed.
• Participate in Document Services User Acceptance Testing to identify and document coding issues prior to release deployment.

Propose new system requirements that enhance usability or modify existing requirements.

Generate monthly statistics related to electronic documents, conversions, and deficiencies.

Other Responsibilities :

• Maintain essential skills by attending training programs and participate in required staff meetings.
• Perform other duties as assigned.

Education / Experience Requirements :

Three (3) years minimum of office work experience required with preferably one (1) year of that experience in document conversion solutions.

Strong communication skills required to provide customer care to firms. Type 45+ words per minute. Demonstrated proficiency with the use of word processing, databases, and spreadsheet computer programs.

Work Conditions :

Work is normally performed in an office environment, frequent use PC and telephone. Extensive use of Web CRD, IARD, Aspect, CRM, Web Xtender and EFP systems.

Occasional overtime may be required.

For work that is performed in CA, Washington, DC, CO, HI, New York, NY, WA and MD the chart below outlines the proposed salary range for the corresponding location.

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 internal peer compensation comparisons .

California : Minimum Hourly Rate $28.62, Maximum Hourly Rate $52.54

Washington, DC / Maryland : Minimum Hourly Rate $28.62, Maximum Hourly Rate $50.33

Colorado / Hawaii : Minimum Hourly Rate $24.96, Maximum Hourly Rate $43.77

New York, NY : Minimum Hourly Rate $29.88, Maximum Hourly Rate $52.54

Washington State : Minimum Hourly Rate $24.96, Maximum Hourly Rate $50.33

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