Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.
Essential Job Functions:
This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties.
Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee.
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.
Ability to perform as part of a team conducting monitoring (including coordination with specialists) to execute against risks of assigned firms.