Associate Principal Risk Specialist - New York, United States - Finra

Finra

Verified Company

New York, United States

1 week ago

Posted by:

Mark Lane

beBee recruiter

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, mediumlow, and mediumhigh risk and complexity with moderate supervision.
Conducts and memorializes discovery and risk reviews of low to mediumhigh 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 timeframes
Ability to work independently with moderate supervision
Ability to identify and prioritize risk

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

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._

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 fulltime schedule

Important Information

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.

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