Associate Director, Enterprise Risk Management

1 week ago

Rockville, Maryland, United States Financial Industry Regulatory Authority Full time
Job Summary

We are seeking an experienced Associate Director, Enterprise Risk Management to join our team at the Financial Industry Regulatory Authority. As a key member of our ERM program, you will play a lead role in identifying, assessing, prioritizing, monitoring, managing, and reporting on enterprise-level risks and opportunities that can impact our ability to meet our strategic goals and key business objectives.

Key Responsibilities
  • Facilitate the ongoing identification of risks through ongoing monitoring of significant developments and emerging issues, both internal and external, and collaborate with FINRA executive and supporting risk owners as well as other program participants on the resulting implications and evaluate management's response.
  • Provide insights on risk response and potential issues and risk exposures that need follow up, as appropriate.
  • Lead the periodic update of key risk tolerance metrics for each enterprise risk to facilitate monitoring within defined limits and escalate to management, where appropriate, to assist in the early identification or risk trends.
  • Identify new and enhanced risk tolerance metrics and other relevant risk measurements and facilitate the development of the underlying data and analytics with the supporting risk owners/other program participants and review and approval with the executive risk owner(s).
  • Facilitate the annual self-assessment process whereby risk owners evaluate the overall risk management effectiveness for designated enterprise risks. Prepare draft self-assessments for designated enterprise risks and facilitate reviews by supporting and executive owners. Identify and reference supporting materials such as internal analyses (e.g., scenario analysis), results of Internal Audit, reviews by independent third-party experts, etc.). Provide objective view on the overall risk management effectiveness. Identify potential risk exposures for close monitoring and escalate, where appropriate.
  • Participate in reviews of self-assessments by ERM governance management bodies, including the ERM Leadership Team and Executive Risk Council.
  • Analyze the enterprise risks as a portfolio to identify and better understand risk concentrations, interdependencies, etc.
  • Collaborate with ERM management and risk owners on analysis to identify, validate, and prioritize existing and emerging risks on an annual basis or as significant developments arise.
  • Perform ongoing monitoring of internal and external pipelines including daily news reports, for significant developments, trends and challenges that could impact the organization, determine relevance and implications, and communicate and escalate, as appropriate.
  • Prepare synopses of relevant external research / white papers from other regulators, consulting firms and other firms to provide timely information for risk-based decision making. Coordinate dissemination with the Emerging Regulatory Issues group.
  • Facilitate efforts to further integrate ERM, strategic planning and budgeting processes and to embed risk management within and across functions, processes, and business activities.
  • Play a hands-on role in structuring and preparing reporting for senior management and the Board, including annual self-assessment results and interim reporting, incorporating insights on risk exposures and risk response. Facilitate reviews of ERM reporting by executive risk owners and ERM governance management bodies.
  • Provide guidance and assistance to business units with the identification, evaluation, monitoring, management, and communication of enterprise risks.
  • Maintain a trusted, collaborative relationship with management across the organization to promote an appropriate level of engagement in ERM activities.
  • Build strong alliances inside and outside work units to positively influence identification and resolution of significant risks/opportunities.
  • Collaborate with ERM management and provide insights on program vision, roadmap, strategies, and approaches.
  • Manage and coordinate requests for information from external constituents (e.g., regulatory oversight reviews, independent annual financial statement audit, independent consultant reviews).
  • Update and maintain FINRA's ERM framework, policies and procedures, governance charters and membership listings, etc.
  • Evaluate and recommend system solutions considering ERM program requirements. Provide analysis/design of analytical and performance management tools that can be used by the business to help better monitor key aspects of operation.
Requirements
  • Bachelor's Degree or equivalent combination of education and relevant work experience. Graduate or advanced degree preferred. Degree in Enterprise Risk Management or equivalent preferred.
  • A minimum of eight (8) years business experience with at least five (5) years of experience in enterprise risk management or operational risk management, and relevant experience in the regulatory/financial services industry.
  • Strong knowledge of FINRA and its operations preferred.
  • Demonstrated knowledge of business process/systems, internal controls, and risk management practices.
  • Strong judgment, problem solving, analytical, and quantitative skills.
  • Excellent verbal and written communication skills.
  • Ability to manage multiple assignments simultaneously in a deadline-driven environment.
  • Proficiency with common software packages, particularly Excel and PowerPoint.
Work Environment

Hybrid work environment. Extended hours and some travel may be required.

Compensation

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed salary range for the corresponding location. In addition to location, 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.

CA: Minimum Salary $124,300, Maximum Salary $235,500

CO/HI/MN/VT*: Minimum Salary $108,200, Maximum Salary $196,200

IL*: Minimum Salary $119,200, Maximum Salary $215,900

Jersey City, NJ/NY, NY: Minimum Salary $129,800, Maximum Salary $235,500

MD/Washington, DC: Minimum Salary $124,300, Maximum Salary $225,700

WA: Minimum Salary $108,200, Maximum Salary $225,700

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

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