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The Employee Relations (ER) Team is a distinct function within FINRA’s People Solutions Department responsible for evaluating and managing moderate to complex employee complaints and internal HR investigations. In consultation with Legal, Business Partners, and business leaders, the Employee Relations Manager will make recommendations regarding appropriate action where there is discriminatory conduct, harassment, inappropriate workplace behavior, or other violation of company policy.
Essential Job Functions:
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.
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.
Utilize case management system to track and manage employee matters to resolution.
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.
Work with our Training and Development Team to create and deliver ER training with a focus on prevention.
Conduct exit interviews and identify trends. Relay the information back to the business and associated Business Partner.
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 underperforming employees which could result in disciplinary action. Assist in the drafting and review of corrective 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 six years of related experience; or an equivalent combination of education and experience.
Experience should include providing guidance to all levels of management on employee relations issues and managing moderate to complex employee relations issues, investigations and writing investigative reports.
PHR/SPHR Certification preferred.
Specialized training in labor/employee relations highly desired.
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.
Any offer of employment is contingent on providing proof of Covid-19 vaccination prior to your start date, subject to approved medical and/or religious exemptions, in accordance with applicable law.
Compensation Range for Colorado locations
Annual Salary: $84,300.00 – $151,900.00
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.
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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.
Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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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