Associate Principal Risk Specialist - Stock Record Analysis
Employment Type: Full-Time
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, 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.To be considered for this position, please submit an application.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.Please note: If the 'Apply Now' button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. 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