The Associate Principal Risk Specialist is a part of the Independent Asset Verification and Valuation (“IAVV”) Specialist Team and they will be asked to conduct and advise on reviews across FINRA’s Regulatory Programs as it relates to independent verification and valuation of customer and/or firm assets held at member firms.
- Leads examinations of medium-high and high risk and complexity with moderate supervision.
- Conducts and memorializes risk identification and risk reviews of medium-high and high risk and complexity..
- Conducts consultation tasks under general supervision .
- Conducts tasks related to consultations that may include, but is not limited to inquiries received from Risk Monitoring, Examinations, National Cause, 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.