Associate Principal Risk Specialist

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 colla...