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.
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, Washington, DC, CO, HI, New York, NY 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 .
California : Minimum Salary $91,500, Maximum Salary $170,900
Washington, DC : Minimum Salary $91,500, Maximum Salary $163,700
Colorado / Hawaii : Minimum Salary $79,500, Maximum Salary $142,300
New York, NY : Minimum Salary $95,400, Maximum Salary $170,900
Washington State : Minimum Salary $79,500, Maximum Salary $163,700
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