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Risk Management Associate Principal

2 months ago

Denver, Colorado, United States finra Full time

Role Overview:

The Associate Principal Risk Specialist is responsible for overseeing risk evaluations across various levels of complexity, ensuring thorough analysis and documentation.

Key Responsibilities:

  • Conduct detailed examinations of risk profiles with moderate oversight.
  • Document and review risk assessments under general guidance.
  • Engage in high-stakes evaluations with appropriate supervision.
  • Provide insights and consultation on fundamental to intermediate tasks.
  • Support educational initiatives for member firms and investors.
  • Contribute to training sessions for staff development.
  • Collaborate with examination teams on diverse review processes.

Qualifications:

  • A Bachelor's Degree or equivalent professional experience is essential.
  • Preferred academic background in relevant disciplines.
  • An advanced degree or professional certification is advantageous.
  • Experience in regulatory environments is necessary.

Skills and Expertise:

  • Solid understanding of risk management principles.
  • Familiarity with securities regulations and compliance standards.
  • Ability to communicate complex issues clearly and effectively.
  • Strong analytical and critical thinking capabilities.

Compensation Information:

Salary ranges vary by location, reflecting the level of expertise and market standards.