Risk Specialist
2 months ago
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.
- 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.
- Intermediate knowledge of FINRA's nine risk fundamentals.
- Intermediate knowledge of securities rules and regulations.
- Modest knowledge of risks/products specific to specialization.
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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