Jobs
>
Denver

    Associate Principal Risk Specialist - Denver, United States - finra

    finra
    finra Denver, United States

    3 weeks ago

    Default job background
    Full time
    Description
    Execute functions in support of specialized units missions including, but not limited to, examinations, investigations, consultations, advisory, knowledge sharing, and quality assurance.

    Essential Job Functions:

    • Leads examinations of low, medium-low, and medium-high risk and complexity with moderate supervision.
    • Conducts and memorializes discovery and risk reviews of low to medium-high risk and complexity. Participates in reviews of high risk and complexity under general supervision.
    • Conducts consultation tasks of basic to moderate complexity under general supervision.
    • Conducts tasks related to consultations that may include, but is not limited to inquiries received from Risk Monitoring, Examinations, and Enforcement staff.
    • Conducts tasks related to member firm/investor education that may include, but is not limited to assisting in the development of training as part of seminars, boot camps, and district compliance events.
    • Conducts tasks related to staff training that may include, but is not limited to district office training events, podcasts, LMS specific training.
    • Conducts examination tasks that may include, but is not limited to: (1) reviews conducted in collaboration with Member Supervision examination staff (2) reviews conducted on matters originated by specialist unit (3) reviews conducted in relation to internal/external tips (4) reviews conducted related to referrals.

    Education/Experience Requirements:

    • Bachelor's Degree or an equivalent combination of education and experience required
    • Major in Accounting, Finance, Economics, Business Administration, Cybersecurity, Computer Forensics, Data Analytics or related fields preferred
    • Advanced degree/certification a plus
    • Moderate securities, compliance or financial regulatory experience
    • Moderate experience related to specialization a plus

    Knowledge Requirements:

    • Intermediate knowledge of FINRA's nine risk fundamentals
    • Intermediate knowledge of securities rules and regulations
    • Moderate knowledge of risks/products specific to specialization

    Skill Requirements:

    • Ability to effectively articulate matters with moderate degree of complexity through verbal and written communications
    • Intermediate critical thinking, research and analytical skills
    • Ability to manage time effectively and complete assignments within budgeted time-frames
    • Ability to work independently with moderate supervision
    • Ability to identify and prioritize risk

    For work that is performed in CA, Washington, DC, 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 Salary $91,500, Maximum Salary $170,900

    Washington, DC: Minimum Salary $91,500, Maximum Salary $163,700
    Colorado/Hawaii: Minimum Salary $79,500, Maximum Salary $142,300
    New York, NY: Minimum Salary $95,400, Maximum Salary $170,900
    Washington State: Minimum Salary $79,500, Maximum Salary $163,700

    #LI-Hybrid

  • Melio

    Risk Operations Specialist

    1 week ago

    Melio Denver, United States

    Risk Operations Specialist · Location: Remote in Denver (must be located in Colorado) · Qualifications: 1+ years of experience within risk, customer experience or payment operations, ideally within the fintech space · 1+ years experience working with Zendesk · Available to work ...

  • Melio

    Risk Operations Specialist

    1 week ago

    Melio Denver, United States

    Job Description · Job DescriptionRisk Operations Specialist · Location: Remote in Denver (must be located in Colorado) · Qualifications: · 1+ years of experience within risk, customer experience or payment operations, ideally within the fintech space · 1+ years experience working ...

  • Melio

    Risk Operations Specialist

    5 days ago

    Melio Denver, United States

    Risk Operations SpecialistLocation: Remote in Denver (must be located in Colorado)Qualifications:1+ years of experience within risk, customer experience or payment operations, ideally within the fintech space1+ years experience working with ZendeskAvailable to work between 10AM a ...

  • Corvus Insurance

    Cyber Risk Specialist

    2 weeks ago

    Corvus Insurance Denver, United States

    We're united by a mission: to make the world a safer place. Corvus Insurance uses novel data and artificial intelligence/machine learning to achieve better insights into commercial insurance risk. Our software empowers brokers and policyholders to better predict and prevent compl ...

  • The Garrett Companies

    Risk and Insurance Specialist

    3 weeks ago

    The Garrett Companies Denver, United States

    The Garrett Companies is an award-winning construction and development firm, specializing in Class A, multifamily construction. The Garrett Companies is committed to creating exceptional residential, and mixed-use spaces. Headquartered in Indianapolis and Denver, our team s are d ...

  • Foley & Lardner LLP

    Information Security Risk Specialist

    4 days ago

    Foley & Lardner LLP Denver, United States

    Overview · Foley & Lardner LLP is looking for an Information Security Specialist to join our Information Security Governance, Risk, and Compliance (GRC) team. The GRC team drives efforts to maintain a secure operating environment in compliance with internal and external requirem ...

  • Foley & Lardner LLP

    Information Security Risk Specialist

    1 week ago

    Foley & Lardner LLP Denver, United States

    Overview · Foley & Lardner LLP is looking for an Information Security Specialist to join our Information Security Governance, Risk, and Compliance (GRC) team. The GRC team drives efforts to maintain a secure operating environment in compliance with internal and external requirem ...

  • Lockton Companies

    Risk Control Operations Specialist

    1 week ago

    Lockton Companies Denver, United States

    At Lockton, we're passionate about helping our people achieve their ultimate potential. Our people are curious, action-oriented and always striving to make ourselves and those around us better. We're active listeners working to ensure understanding and problem solvers developing ...

  • SilverLinx

    Reference: Admission and Risk Management Specialist for Vehicle Projects

    3 days ago

    SilverLinx Thornton, United States

    The German Railway is not only one of the most important mobility service providers, but also one of the largest engineering offices in Germany. Currently, more than engineers work for us, for example in the modernization, maintenance and procurement of rail vehicles and their co ...

  • Federal Reserve Bank of Kansas City

    Federal Reserve Information Technology Examiner/Risk Specialist

    2 weeks ago

    Federal Reserve Bank of Kansas City Denver, United States

    CompanyFederal Reserve Bank of Kansas City Joining the Federal Reserve Bank of Kansas City means that you're joining a part of the nation's central bank and playing a key role in promoting strength and stability in our economy, financial organizations, and payments system. Togeth ...

  • NovaWorks Solutions

    Senior Professional IT Security

    3 weeks ago

    NovaWorks Solutions Denver, United States

    What to expect · As part of a team, you will administer our endpoint security infrastructure for clients and servers and continuously develop it. · You will identify and analyze vulnerabilities and their impact on the IT system landscape and specific business applications, and de ...

  • State of Colorado

    Risk & Compliance Support Specialist (Program Asst. I): DORA/Division of Professions & Occupations

    1 week ago

    State of Colorado Denver, United States

    Department Information · This announcement may be used to fill multiple vacancies. · The Department of Regulatory Agencies (DORA) is dedicated to preserving the integrity of the marketplace and is committed to promoting a fair and competitive business environment in Colorado. · C ...

  • LifeLine Ambulance CA

    Communication Specialist

    1 week ago

    LifeLine Ambulance CA Commerce, United States

    **Pay Range Starting At**: $21.00/hr · **Job Summary**: · As a Communications Specialist at LifeLine EMS's Communications and Dispatch Center, your core responsibility is to provide exceptional customer service while efficiently handling incoming calls from medical facilities and ...

  • LifeLine Ambulance CA

    Communications Associate

    3 weeks ago

    LifeLine Ambulance CA Commerce, United States

    **Pay Rate Starting At**: $20.50/hr · **Job Summary** · As a Communications Associate at LifeLine EMS's Communications and Dispatch Center, your core responsibility is to provide exceptional customer service while efficiently handling incoming calls from medical facilities. Colla ...

  • LifeLine Ambulance CA

    Communications Controller

    3 weeks ago

    LifeLine Ambulance CA Commerce, United States

    **Pay Rate Starting At**: $22.50/hr · **Job Summary**: · **Responsibilities**: · - **Dispatching Units**: Coordinate and dispatch units in accordance with established protocols and procedures. · - ** Incoming Calls Handling**: Respond to incoming calls, assessing the nature of th ...

  • Lime

    Inventory Control Supervisor

    3 weeks ago

    Lime Commerce, United States

    Lime is the world's largest shared electric vehicle company. We're on a mission to build a future where transportation is shared, affordable and carbon-free. Our electric bikes and scooters have powered 400+ million rides in 250+ cities on 5 continents, replacing an estimated 100 ...

  • Merck Sharp & Dohme

    Associate Director, Quality Operations

    1 week ago

    Merck Sharp & Dohme West Point, United States

    The Associate Director drives quality improvement activities and ensures alignment across the execution of their assigned areas and is accountable for the development and maintenance of Quality Systems in particular the execution of wash, assembly, and sterilization of components ...

  • Intelliswift Software, Inc.

    Quality Change Control

    2 weeks ago

    Intelliswift Software, Inc. West Point, United States

    Qualifications: · Education Minimum Requirement: · - Bachelor's Degree in Engineering or Science · Required Experience and Skills: · - Minimum of two (2) years of work experience in the biological/ pharmaceutical/chemical manufacturing industry · - Experience in biologics, vaccin ...

  • Merck Sharp & Dohme

    Specialist, Operations

    3 weeks ago

    Merck Sharp & Dohme West Point, United States

    The West Point, PA campus is our Company's largest vaccine manufacturing facility with more than 2000 employees. This facility manufactures bulk and/or final dosage forms for all our Company vaccine products and is growing to meet the vaccine demands of the future. The Building 5 ...

  • Stellar Enterprises

    A400m Supply Officer

    4 days ago

    Stellar Enterprises Englewood, CO, United States Freelance

    **A400M Supply Officer (m/f/d) at Airbus in Bremen, Englewood, CO**: · Welcome to Aviation Industry Personnel SERVICES GmbH, the expert for service and personnel services in the aviation industry. We bring people together to achieve high goals. It's a path we don't pursue alone, ...