About this role
Role Overview
- Independently conduct sophisticated risk monitoring of member firms
- Analyze regulatory trends and emerging risks
- Engage directly with senior business management and executive stakeholders
- Coach and develop junior risk monitoring staff
- Take ownership of special projects and technology initiatives
- Coordinate with specialists and cross-functional teams
- Analyze vast amounts of internal and external data to identify risk patterns
- Partner with internal departments to identify and trend industry and business model risks
Requirements
- Bachelor's degree in Finance, Accounting, Business, or related field (or equivalent combination of education and experience)
- Extensive demonstrated analytical experience in the financial industry
- Proven experience addressing one or more key industry risks (Fraud and Deception, Money Laundering, Market Risk)
- Advanced understanding of FINRA's risk fundamentals
- Intermediate-to-advanced knowledge of securities rules and regulations
- Intermediate-to-advanced knowledge of firm business models, business lines, customer bases, products, and services
- Intermediate knowledge of U.S. GAAP accounting standards
- Strong ability to engage effectively with senior business management
- Intermediate-to-advanced proficiency in Microsoft Excel and Microsoft Word
Benefits
- comprehensive health, dental and vision insurance
- basic life insurance
- short
- and long-term disability
- 401(k) plan with company match
- FINRA-funded retirement contribution
- tuition reimbursement
- adoption assistance
- backup family care
- wellness programs
- paid time off including 15 days of vacation and 9 sick days
- paid holidays