Principal Toxicologist – Health Scientist – Risk Assessor
GSI Environmental Inc.
Principal Analyst, Risk Monitoring – Capital Markets
FINRA
full-time
Posted on:
Location: California, Colorado, Illinois • 🇺🇸 United States
Visit company websiteSalary
💰 $95,300 - $206,200 per year
Job Level
Lead
About the role
- Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director
- Senior-level position reporting to a Risk Monitoring Director and supports that manager in identifying existing and emerging risks
- Conducts risk monitoring activities, including complex or elevated risk firms, with guidance and minimal supervision
- Collaborates with internal departments to analyze, communicate and make recommendations with respect to regulatory intelligence
- Mentor and coach more junior level risk monitoring staff
- Serve in leadership roles related to special projects and technology initiatives
- Perform as part of a team conducting monitoring (including coordination with specialists) to execute against risks of assigned firms
- Interact with internal and external parties as part of monitoring and assessments
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 (e.g. Fraud and Deception, Money Laundering, and Market)
- 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 U.S. GAAP accounting standards
- Intermediate written and verbal communication, financial analysis, and research skills
- Self-starter with ability to administer complex assignments concurrently, including unstructured assignments that require autonomy and independent judgment
- Intermediate-to-Advanced ability to analyze internal and external data to assess inherent risks of member firms and develop regulatory responses
- Intermediate-to-Advanced level proficiency in Microsoft Excel and Microsoft Word
- Intermediate-to-Advanced quantitative, analytical, problem solving skills, including the ability to accumulate, organize, and assimilate large amounts of information
- Ability to engage and work effectively with senior business management, across departments, and with staff in multiple locations
- Mentoring and coaching experience for more junior staff
