Risk Management Associate Principal

2 weeks ago


Denver, Colorado, United States finra Full time

Role Overview:

The Associate Principal Risk Specialist is responsible for leading and conducting comprehensive evaluations of risk levels within the organization. This position requires a balance of independence and collaboration, ensuring that risk reviews are executed effectively and efficiently.

Key Responsibilities:

  • Oversee examinations of diverse risk categories with moderate oversight.
  • Execute and document risk assessments with general guidance.
  • Engage in high-stakes reviews under general supervision.
  • Provide expert consultation on fundamental to intermediate tasks.
  • Support educational initiatives for member firms and investors.
  • Contribute to training sessions for staff development.
  • Work collaboratively with examination teams on various evaluations.

Qualifications:

  • A Bachelor's Degree or equivalent professional experience is mandatory.
  • Preferred majors include relevant fields of study.
  • An advanced degree or professional certification is advantageous.
  • Experience in regulatory environments is essential.

Skills and Knowledge:

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

Compensation Range:

California: $91,500 - $170,900

Washington, DC: $91,500 - $163,700

Colorado/Hawaii: $79,500 - $142,300

New York, NY: $95,400 - $170,900

Washington State: $79,500 - $163,700



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