Principal Risk Specialist, Member Supervision - All FINRA Locations

Execute functions in support of specialized units missions including, but not limited to, examinations, investigations, consultations, advisory, knowledge sharing, and quality assurance.

Essential Job Functions:

• Leads examinations of all levels of risk and complexity with minimal supervision
• Conducts and memorializes discovery and risk reviews of all levels of risk and complexity
• Conducts consultation tasks of high complexity under  general the supervision 
• Conducts tasks related to consultations that may include, but is not limited to inquiries received from Risk Monitoring, Examinations, and Enforcement staff 
• Conducts tasks related to member firm/investor education that may include, but is not limited to (1) serving on conference panels (2)  providing training as part of seminars, boot camps, and district compliance events. 
• Conducts tasks related to staff training that may include, but is not limited to district office training events, podcasts, LMS specific training. 
• Conducts examination tasks that may include, but is not limited to: (1) reviews conducted in collaboration with Member Supervision examination staff (2) reviews conducted on matters originated by specialist unit (3) reviews conducted in relation to internal/external tips (4) reviews conducted related to referrals 

Education/Experience 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.
• Intermediate securities, compliance or financial regulatory experience. Intermediate experience related to specialization a plus. 

Knowledge Requirements:

• Intermediate knowledge of FINRA's nine risk fundamentals
• Intermediate knowledge of securities rules and regulations
• Intermediate knowledge of risks/products specific to specialization

Skill Requirements:

• Advanced written and oral communications skills
• Advanced negotiation skills and ability to build collaborative relationships
• Advanced prioritizing, planning, and organizations skills
• Advanced resiliency with ability to adapt and thrive in uncertain and stressful conditions. 

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the 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 $106,400, Maximum Salary $200,200

CO/HI/MN/VT*: Minimum Salary $92,500, Maximum Salary $166,800

IL*: Minimum Salary $101,800, Maximum Salary $183,900

Jersey City, NJ/NYC, NY: Minimum Salary $111,000, Maximum Salary $200,200

MA/WA: Minimum Salary $92,500, Maximum Salary $191,800

MD/Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800

NJ: Minimum Salary $101,800, Maximum $200,200

NY: Minimum Salary $92,500, Maximum Salary $200,200

*Including positions performed outside the state but reporting to an office or manager in that state.

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.

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

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