About This Role
This Support Center Representative role in Rockville, MD, involves acting as a primary point of contact for industry members, regulatory users, member firms, and the general public. You will navigate specialized enterprise applications to resolve regulatory, registration, credentialing, and functional compliance requests, upholding FINRA’s mission of investor protection and market integrity.
Responsibilities
- Respond to customer requests regarding industry regulations, registration, and credentialing by providing functional and navigational support across FINRA Support Center systems (Web CRD/IARD, Proctor, OASIS, and associated portals)
- Intake customer inquiries, conduct research, resolve issues, and confer with senior staff or subject matter experts on complex cases as needed
- Guide representatives with Form U4/U5 filing information and address two-year license registration questions
- Assist executive representatives and authorized contacts of member firms with routine credentialing questions, system usage, and quarterly contact updates
- Accurately log, track, document, and resolve support cases within the CRM application (CRIS) in accordance with FINRA procedures and SLA timeframes
- Provide standard procedures for initiating complaints, process BrokerCheck/public search requests, and assist regional District Offices with compliance activities
- Review the Proctor application to check registration status and schedule non-member examination applications
Requirements
- 4-Year Bachelor’s Degree required
- Prior experience in customer service, call center operations, or financial/regulatory support preferred
- Ability to adhere to the hybrid model (3 days on-site in Rockville, MD / 2 days remote)
- Flexibility to work required shift hours (Full-Time: 8:00 AM–8:00 PM window; Part-Time: M–F morning/mid-day shifts)
- Strong technical aptitude for enterprise systems
- Professional communication skills
- Continuous development of registration rule proficiency
- Alignment with FINRA’s values and collaborative mission
Benefits
- Comprehensive benefits package, including: medical, prescription, dental, vision, AD&D, and life insurance offerings, short-term disability, and a 401K plan (all benefits are based on eligibility)
Important Details
- Position Type: Long-Term Contract-to-Hire (12 Months Initial)
- Operating Hours: Monday – Friday, 8:00 AM – 8:00 PM EST
- Schedule Options: Full-Time (flexible to work an 8-hour shift between 8:00 AM and 8:00 PM EST, Monday–Friday); Part-Time (typically 4 hours/day, M–F, morning to mid-day; no late shifts)
- Work arrangement: Hybrid (3 days on-site / 2 days remote)
