Risk Management Specialist
7 days ago
We are seeking a highly skilled Risk Management Specialist to join our team at FINRA. As an Associate Principal Risk Specialist, you will play a critical role in supporting specialized units' missions, including examinations, investigations, consultations, advisory, knowledge sharing, and quality assurance.
Key Responsibilities- Examination and Review: Lead examinations of low, medium-low, and medium-high risk and complexity with moderate supervision, and conduct and memorialize discovery and risk reviews of low to medium-high risk and complexity.
- Consultation and Advisory: Conduct consultation tasks of basic to moderate complexity under general supervision, and provide expert advice on risk management and regulatory compliance.
- Knowledge Sharing and Quality Assurance: Conduct tasks related to member firm/investor education, staff training, and examination tasks, including reviews conducted in collaboration with Member Supervision examination staff.
- Education and Experience: Bachelor's Degree or an equivalent combination of education and experience required, with a major in Accounting, Finance, Economics, Business Administration, Cybersecurity, Computer Forensics, Data Analytics, or related fields preferred.
- Knowledge and Skills: Intermediate knowledge of FINRA's nine risk fundamentals, securities rules and regulations, and risks/products specific to specialization, with strong critical thinking, research, and analytical skills.
- Communication and Interpersonal Skills: Ability to effectively articulate matters with moderate degree of complexity through verbal and written communications, and work independently with moderate supervision.
For work performed in CA, Washington, DC, CO, HI, New York, NY, and WA, the proposed salary range is outlined below. 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
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