Risk Specialist

2 months ago


Denver, Colorado, United States finra Full time
Job Summary

We are seeking a highly skilled Risk Specialist to join our team at FINRA. As a key member of our specialized unit, you will play a critical role in supporting our mission to protect investors and maintain fair and orderly markets.

Key Responsibilities
  • Lead examinations of low to medium-high risk and complexity, with moderate supervision.
  • Conduct and memorialize discovery and risk reviews of low to medium-high risk and complexity, and participate in reviews of high risk and complexity under general supervision.
  • Conduct consultation tasks of basic to moderate complexity under general supervision.
  • Conduct tasks related to consultations, including inquiries received from Risk Monitoring, Examinations, and Enforcement staff.
  • Develop and deliver training programs for member firms and investors, including seminars, boot camps, and district compliance events.
  • Conduct examination tasks, including reviews conducted in collaboration with Member Supervision examination staff, reviews conducted on matters originated by specialist unit, and reviews conducted in relation to internal/external tips.
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.
  • Modest securities, compliance, or financial regulatory experience.
  • Modest experience related to specialization a plus.
Knowledge and Skills
  • Intermediate knowledge of FINRA's nine risk fundamentals.
  • Intermediate knowledge of securities rules and regulations.
  • Modest knowledge of risks/products specific to specialization.
Working Conditions

This role is based in various locations, including California, Washington, DC, Colorado, Hawaii, New York, NY, and Washington State. The proposed salary range for this position varies by location, as outlined below:

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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