Alternative Net Capital Specialist Manager
5 days ago
We are seeking a highly skilled Alternative Net Capital Specialist Manager to join our team at the Financial Industry Regulatory Authority. As a key member of our organization, you will be responsible for planning, supervising, and conducting examinations to assess member firms' risk management frameworks and evaluate systems, procedures, and internal controls established to effectively manage market, credit, and liquidity risks.
Key Responsibilities- Assess member firms' compliance with the SEA Rule 15c3-1(Appendix E) and other applicable rules and regulatory requirements.
- Evaluate systems and procedures for the establishment and implementation of comprehensive internal controls to effectively manage risk.
- Review, analyze, and test member firm systems (front, middle, and back office) used to capture, aggregate, and measure market, credit, and liquidity exposures, limits, and associated risks.
- Manage direct reports' performance on an annual basis and schedule and staff exams.
- Review and approve risk reviews and all exam-related reports and letters.
- 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.
- Moderate experience managing projects and/or people.
- Advanced knowledge of FINRA's risk fundamentals, securities rules and regulations, and firm business models.
We offer a comprehensive benefits package, including health, dental, and vision insurance, basic life insurance, accidental death and dismemberment insurance, supplemental life insurance, and short- and long-term disability insurance. We also offer a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution.
Please note that this job description is not intended to be a comprehensive list of all duties, responsibilities, and qualifications required. We are an equal opportunity employer and welcome applications from diverse candidates.
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