- Leads examinations of all levels of risk and complexity with minimal supervision
- Conducts and memorializes discovery and risk reviews of all levels of risk and complexity
- Conducts consultation tasks of high complexity under general the 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 (1) serving on conference panels (2) providing 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
- 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.
- Intermediate securities, compliance or financial regulatory experience. Intermediate experience related to specialization a plus.
- Intermediate knowledge of FINRA's nine risk fundamentals
- Intermediate knowledge of securities rules and regulations
- Intermediate knowledge of risks/products specific to specialization
- Advanced written and oral communications skills
- Advanced negotiation skills and ability to build collaborative relationships
- Advanced prioritizing, planning, and organizations skills
- Advanced resiliency with ability to adapt and thrive in uncertain and stressful conditions.
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Registerd Nurse
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Maria Parham Health Henderson, United States Full timeProvides direct and indirect patient care utilizing the nursing process of assessment, planning, implementation and evaluation. Meets the physical, psychosocial, religious/cultural and needs of the patient and family. Communicates effectively with all members of the health care t ...
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Maria Parham Health Henderson, United States Full timeMaria Parham Health · $15,000 Bonus with 2-year Commitment (New Graduate RN's) · Who We Are: · People are our passion and purpose. Come work where you are appreciated for who you are not just what you can do. With 205 licensed beds, Maria Parham Health is equipped for every healt ...
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med surg rn prn
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Maria Parham Health Henderson, United States Full timeMaria Parham Health · Who We Are: · People are our passion and purpose. Come work where you are appreciated for who you are not just what you can do. With 205 licensed beds, Maria Parham Health is equipped for every health care need one can encounter. We are fully licensed by Joi ...
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Maria Parham Health Henderson, United States Full timeMaria Parham Health · Who We Are: · People are our passion and purpose. Come work where you are appreciated for who you are not just what you can do. With 205 licensed beds, Maria Parham Health is equipped for every health care need one can encounter. We are fully licensed by Joi ...
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TCC Jericho, United StatesJob Summary: We are seeking a reliable and detail-oriented Cleaner to join our team. As a Cleaner, you will be responsible for maintaining cleanliness and sanitation standards in various settings. This position requires experience in custodial and commercial cleaning. Responsibil ...
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Maria Parham Health Henderson, United StatesMaria Parham Health · Who We Are: · People are our passion and purpose. Come work where you are appreciated for who you are not just what you can do. With 205 licensed beds, Maria Parham Health is equipped for every health care need one can encounter. We are fully licensed by Joi ...
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ER Registered Nurse Full Time
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ER Registered Nurse Full Time
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ER Registered Nurse Full Time
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Registerd Nurse
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Registerd Nurse
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Registerd Nurse
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Maria Parham Health Henderson, United States Full timeMaria Parham HealthUp to $20,000 sign-on bonus for eligible candidates · Who We Are: · People are our passion and purpose. Come work where you are appreciated for who you are not just what you can do. With 205 licensed beds, Maria Parham Health is equipped for every health care ...
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Registerd Nurse
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Maria Parham Health Henderson, United States Full timeMaria Parham Health · *Up to $20,000 sign-on Bonus for eligible candidates* · Who We Are: · People are our passion and purpose. Come work where you are appreciated for who you are not just what you can do. With 205 licensed beds, Maria Parham Health is equipped for every health c ...
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Maria Parham Health Henderson, United States Full timeMaria Parham Health · Who We Are: · People are our passion and purpose. Come work where you are appreciated for who you are not just what you can do. With 205 licensed beds, Maria Parham Health is equipped for every health care need one can encounter. We are fully licensed by Joi ...
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Registerd Nurse
4 days ago
Maria Parham Health Henderson, United States Full timeMaria Parham HealthMinimum Requirements: · Successful completion of the Nursing Diploma Program or an associate degree in nursing from an accredited school is required. · Who We Are: · Our passion and purpose revolve around people. We value and appreciate you for who you are, no ...
Principal Risk Specialist, Member Supervision - Jericho, United States - finra
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:
Education & Experience Requirements:
Knowledge Requirements:
Skill Requirements:
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 $106,400, Maximum Salary $200,200
Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800
Colorado/Hawaii: Minimum Salary $92,500, Maximum Salary $166,800
New York, NY: Minimum Salary $111,000, Maximum Salary $200,200
Washington State: Minimum Salary $92,500, Maximum Salary $191,800
#LI-Hybrid
