Associate Principal Risk Specialist - Any FINRA Location

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 low, medium-low, and medium-high risk and complexity with moderate supervision.
• Conducts and memorializes discovery and risk reviews of low to medium-high risk and complexity. Participates in reviews of high risk and complexity under general supervision.
• Conducts consultation tasks of basic to moderate complexity under general 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 assisting in the development of 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 or related fields preferred. Advanced degree/certification a plus.
• Significant securities, compliance or financial regulatory experience

Knowledge Requirements:

• Advanced knowledge of FINRA's risk fundamentals 
• Advanced knowledge of securities rules and regulations
• Advanced knowledge of firm business models, business lines, customer bases, products and services
• Advanced knowledge of all major regulatory areas and the associated rule requirements
• Awareness and understanding of internal policies and protocols

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Skill Requirements:

• Ability to effectively articulate matters with high degree of complexity through verbal and written communications
• Advanced critical thinking, research and analytical skills
• Proficient in utilizing available internal resources
• Ability to manage time effectively and complete assignments within budgeted timeframes
• Ability to identify and prioritize risk
• Ability to work independently with minimal supervision
• Ability to recognize and understand the relationship and impact between different regulatory areas

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 $91,500, Maximum Salary $170,900

CO/HI/MN/VT*: Minimum Salary $79,500, Maximum Salary $142,300

IL*: Minimum Salary $87,500, Maximum Salary $156,600
Jersey City, NJ/NY, NY: Minimum Salary $95,400, Maximum Salary $170,900

MD/Washington, DC: Minimum Salary $91,500, Maximum Salary $163,700
WA: Minimum Salary $79,500, Maximum Salary $163,700

*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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