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Senior Associate, Risk Monitoring - FINRA Locations Nationwide
H1: Join Our Team as a Senior Associate, Risk Monitoring at FINRA
H2: Essential Functions and Requirements for Senior Associate, Risk Monitoring Role at FINRA
Department: Risk Monitoring
Organization: FINRA
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Locations: Woodbridge, NJ Jericho, NY Denver, CO Dallas, TX Chicago, IL
Time Type: Full Time
Posted On: Posted 2 Days Ago
Job Requisition ID: R-008728
Organization Overview:
FINRA is a leading non-governmental organization that oversees the financial industry. We are committed to protecting investors and promoting market integrity in all our activities. Our employees work tirelessly to ensure that the financial industry operates fairly and honestly, providing a safe and secure environment for investors.
Job Summary:
As a Senior Associate, Risk Monitoring at FINRA, you will be responsible for conducting risk monitoring activities and ongoing risk assessments. Reporting to a Risk Monitoring Director, you will play a crucial role in identifying and addressing existing and emerging risks within the financial industry. This is a senior-level position that requires strong analytical skills and experience in the financial industry.
Essential Job Functions:
- Conduct risk monitoring activities for complex or elevated risk firms, with guidance and minimal supervision from a Risk Monitoring Director or designee.
- Collaborate with internal departments to analyze and communicate regulatory intelligence, and make recommendations to senior management.
- Mentor and coach junior level risk monitoring staff.
- Serve in leadership roles for special projects and technology initiatives.
- Work as part of a team to execute risk monitoring activities for assigned firms, including coordinating with specialists.
Education/Experience Requirements:
- Bachelor's Degree in Finance, Accounting, Business or related field(s), or equivalent combination of education and relevant experience required. Graduate degree (MBA or JD) and/or relevant industry certification(s) preferred.
- Demonstrated analytical skills and experience, including financial industry, absorbing/processing regulatory developments and applying them to complex business models.
- Demonstrated experience relating to one or more of the inherent industry risks (. Fraud and Deception, Money Laundering, and Market).
Knowledge Requirements:
- Advanced knowledge 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 . GAAP accounting standards.
Skill Requirements:
- Ability to engage and work effectively with senior business management, across departments, and with staff in multiple locations.
- Intermediate written and verbal communication, financial analysis, and research skills.
- Self-starter with ability to administer complex assignments concurrently.
- Intermediate-to-Advanced ability to analyze internal and external data and develop regulatory responses to address higher risk areas.
- Proactive, solutions-oriented, innovative, and collaborative.
- Intermediate-to-Advanced level proficiency in Microsoft Excel and Microsoft Word.
- Intermediate-to-Advanced quantitative, analytical, and problem solving skills.
Other Responsibilities:
- Participate in initiatives across Surveillance.
- Stay current on industry trends, practices, and regulatory impacts.
Education/Experience Requirements:
- Bachelor’s degree and a minimum of four (4) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.
- Demonstrated understanding of surveillance development lifecycle and goal attainment skills.
- Working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder.
- Experience identifying potential securities rule violations.
- Experience working on routine projects independently.
Working Conditions:
- Hybrid work environment (remote/office) with extended hours.
- Travel may be required.
Salary Information:
For work 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, the salary range is as follows:
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
For work performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA, the proposed salary range is as follows:
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/NY, NY: Minimum Salary $111,000, Maximum Salary $200,200
MD/Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800
WA: Minimum Salary $92,500, Maximum Salary $191,800
*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 **MEMBERS ONLY**SIGN UP NOW***.
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Application Process:
To be considered for this position, please submit an application. Applications are accepted on an ongoing
