Senior Employee Relations Manager

| Rockville, MD, USA
Employer Provided Salary: 104,500-227,500 Annually
Salary data is provided by the employer. Please note this is not a guarantee of compensation.
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The Employee Relations (ER) Team is a distinct function within FINRA's People Solutions Department responsible for investigating employee complaints.

Essential Job Functions:

The Senior Employee Relations Manager will be responsible for:

  • Conduct robust investigations into employee complaints and allegations of misconduct in a timely, fair, and balanced way.
  • Identify and assess the scale and scope of alleged or confirmed conduct which is deemed inappropriate, impermissible, or unacceptable.
  • Partner with Business Partners, Centers of Excellence (COEs), internal and external legal counsel, Compliance, and other internal investigative bodies, as necessary to reach an effective resolution for employee matters.
  • Use the ER case management system to log cases and use the associated data to gather insights, identify trends and develop proactive strategies to remediate risk.
  • Provide insight and interpretation to managers and employees regarding relevant employment principles and complex employee relations issues, especially those requiring an explanation or interpretation of employment law, principles of effective performance management, workplace investigations and critical incident management.
  • Consult and provide training, advice, counsel and resolution to employees and managers on a broad range of employee relations matters, including policy interpretation and application, federal/state/local employment laws, conflict resolution, reasonable accommodations, performance management, progressive discipline, reductions in force and other separations of employment.
  • Work with our Training and Development Team to create and deliver ER training with a focus on prevention.
  • Build and maintain a strong partnership with key stakeholders in Legal, Compliance, Internal Audit, Security, Data Privacy & Protection, and Internal Risk to assess and mitigate legal, regulatory, and reputational risk.
  • Provide pragmatic and timely advice to stakeholders regarding employee conduct which could result in disciplinary action. Assist in the drafting and review of disciplinary action as needed.
  • Oversee various projects & initiatives related to the space including new legislation in employment law & updating relevant ER policies.
  • Participate in the delivery and refinement of ER metrics to appropriate stakeholders.

Education/Experience Requirements:

  • Bachelor's Degree in Human Resources and a minimum of ten (10) years of related experience; or an equivalent combination of education and experience.
  • At least 5 years focused experience providing guidance to all levels of management on employee relations issues and managing moderate to complex employee relations issues, investigations and writing investigative reports.
  • Specialized training in labor/employee relations highly desired; JD Preferred.
  • Excellent communication (verbal + written), relationship building, and collaboration skills.
  • Demonstrated ability to quickly connect with people from diverse backgrounds.
  • Ability to deliver difficult messages and navigate conflict in a professional and constructive way.
  • Ability to work in a faced-paced environment with multiple competing priorities.

For work that is performed in CA, CO, HI, New York, NY and WA, 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 of $115,200, Maximum of $227,500

Colorado/Hawaii: Minimum of $104,500, Maximum of $189,600

New York, NY: Minimum of $125,400, Maximum of $227,500

Washington St: Minimum of $104,500, Maximum of $218,100


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 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 Employee Relations team at 240.386.4865 or by email at [email protected]. Please note that this process is exclusively for inquiries regarding application accommodations.

Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits.

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 (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 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.

More Information on FINRA
FINRA operates in the Financial Services industry. The company is located in Washington, DC, Los Angeles, CA, San Francisco, CA, Denver, CO, Boca Raton, FL, Atlanta, GA, Chicago, IL, New Orleans, LA, Rockville, MD, Rockville, MD, Boston, MA, Kansas City, MO, Woodbridge, NJ, Jericho, NY, Philadelphia, PA, Dallas, TX, New York, NY and New York, NY. FINRA was founded in 2007. It has 5123 total employees. To see all 25 open jobs at FINRA, click here.
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