Associate Principal Risk Specialist: Fixed Income, Member Supervision - All FINRA Locations

Execute functions in support of fixed income 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 
• Conducts reviews related to municipal, corporate, and structured product activities as well as underwriting and municipal advisory business lines. 

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.
• Moderate securities, compliance or financial regulatory experience.
• Moderate experience related to specialization a plus. 

Knowledge Requirements:

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

Skill Requirements:

• Ability to effectively articulate matters with moderate degree of complexity through verbal and written communications
• Intermediate critical thinking, research and analytical skills
• Ability to manage time effectively and complete assignments within budgeted time-frames
• Ability to work independently with moderate supervision
• Ability to identify and prioritize risk

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 $94,200, Maximum Salary $176,000

CO/HI/MN/VT*: Minimum Salary $81,900, Maximum Salary $146,600

IL*: Minimum Salary $90,100, Maximum Salary $161,300
Jersey City, NJ/NYC, NY: Minimum Salary $98,300, Maximum Salary $176,000

MA/WA: Minimum Salary $81,900, Maximum Salary $168,600

MD/Washington, DC: Minimum Salary $94,200, Maximum Salary $168,600
NJ State: Minimum Salary $90,100, Maximum $176,000

NY State: Minimum Salary $81,900, Maximum Salary $176,000

*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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