Associate Principal Analyst - Risk Monitoring Retail Small
Company: Rge Pte Ltd
Location: Denver
Posted on: April 10, 2021
Job Description:
Associate Principal Analyst - Risk Monitoring Retail Small,
Medium, and Large Firms - Any FINRA Location 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 mid-level position with staff developing in role and
reporting to a Risk Monitoring Director and supports both that
direct manager in identifying existing and emerging risks.
- Conducts risk monitoring for member firms that can include
complex or elevated risk firms with guidance and moderate
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 entry-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.Education/Experience Requirements:
- Bachelor's Degree in Finance, Accounting, Business or related
field(s), 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 (i.e., Operational, Sales Practice, Fraud and
Deception, Money Laundering, Accuracy of Regulatory Capital,
Credit, Market, Liquidity, and/or Segregation of Client
Assets).Knowledge Requirements:
- Intermediate knowledge of FINRA's nine risk fundamentals.
- Intermediate knowledge of securities rules and
regulations.
- Intermediate knowledge of firm business models, business lines,
customer bases, products and services.
- Basic knowledge of U.S. GAAP accounting standards.Skill
Requirements:
- Ability to engage and work effectively with senior business
management, across departments, and with staff in multiple
locations, including partnering and collaborating with various
internal departments for the identification and trending of
industry and business model risks for summation and reporting to
senior management.
- Intermediate written and verbal communication, financial
analysis, and research skills.
- Developing ability to administer increasingly 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 to address higher risk areas.
- Be proactive & solutions-oriented; innovative; collaborative
and energized by the open exchange of ideas.
- Intermediate level proficiency in Microsoft Excel and Microsoft
Word.
- Intermediate quantitative, analytical, problem solving skills,
including the ability to accumulate, organize, and assimilate large
amounts of information.To be considered for this position, please
submit an application. The information provided above has been
designed to indicate the general nature and level of work of the
position. It is not a comprehensive inventory of all duties,
responsibilities and qualifications required.Please note: If the
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directly to the FINRA Careers site, enter www.finra.org/careers
into your browser to reach our site directly.FINRA strives to make
our career site accessible to all users. If you need a
disability-related accommodation for completing the application
process, please contact FINRA's accommodation help line at
240.386.4865. Please note that this number is exclusively for
inquiries regarding application accommodations.In addition to a
competitive salary, comprehensive health and welfare benefits, and
incentive compensation, FINRA offers immediate participation and
vesting in a 401(k) plan with company match. You will also be
eligible for participation in an additional FINRA-funded retirement
contribution, our tuition reimbursement program and many other
benefits. If you would like to contribute to our important mission
and work collegially in a professional organization that values
intelligence, integrity and initiative, consider a career with
FINRA.Important InformationFINRA's Code of Conduct imposes
restrictions on employees' investments and requires financial
disclosures that are uniquely related to our role as a securities
regulator. FINRA employees are required to disclose to FINRA all
brokerage accounts that they maintain, and those in which they
control trading or have a financial interest (including any trust
account of which they are a trustee or beneficiary and all accounts
of a spouse, domestic partner or minor child who lives with the
employee) and to authorize their broker-dealers to provide FINRA
with duplicate statements for all of those accounts. All of those
accounts are subject to the Code's investment and securities
account restrictions, and new employees must comply with those
investment restrictions-including disposing of any security issued
by a company on FINRA's Prohibited Company List or obtaining a
written waiver from their Executive Vice President-by the date they
begin employment with FINRA. Employees may only maintain securities
accounts that must be disclosed to FINRA at one or more securities
firms that provide an electronic feed (e-feed) of data to FINRA,
and must move securities accounts from other securities firms to a
firm that provides an e-feed within three months of beginning
employment.You can read more about these restrictions here .As
standard practice, employees must also execute FINRA's Employee
Confidentiality and Invention Assignment Agreement without
qualification or modification and comply with the company's policy
on nepotism.Search Firm RepresentativesPlease be advised that FINRA
is not seeking assistance or accepting unsolicited resumes from
search firms for this employment opportunity. Regardless of past
practice, a valid written agreement and task order must be in place
before any resumes are submitted to FINRA. All resumes submitted by
search firms to any employee at FINRA without a valid written
agreement and task order in place will be deemed the sole property
of FINRA and no fee will be paid in the event that person is hired
by FINRA.FINRA is an Equal Opportunity and Affirmative Action
EmployerAll qualified applicants will receive consideration for
employment without regard to age, citizenship status, color,
disability, marital status, national origin, race, religion, sex,
sexual orientation, gender identity, veteran status or any other
classification protected by federal state or local laws as
appropriate, or upon the protected status of the person's
relatives, friends or associates.FINRA abides by the requirements
of 41 CFR 60-741.5(a). This regulation prohibits discrimination
against qualified individuals on the basis of disability, and
requires affirmative action by covered prime contractors and
subcontractors to employ and advance in employment qualified
individuals with disabilities.FINRA abides by the requirements of
41 CFR 60-300.5(a). This regulation prohibits discrimination
against qualified protected veterans, and requires affirmative
action by covered prime contractors and subcontractors to employ
and advance in employment qualified protected veterans.--2020
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Keywords: Rge Pte Ltd, Denver , Associate Principal Analyst - Risk Monitoring Retail Small, Professions , Denver, Colorado
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