Sr. Examiner
Primary Responsibilities:
- Develop procedure for requesting and maintaining risk management policies and procedures from member firms.
- Review and analyze the information submitted on risk policies and procedures for our member firms for sufficiency. Coordinate with department management or surveillance staff to understand key areas of focus for each firm.
- Follow-up with the member firm on any issues/questions.
- Evaluate and document the adequacy and effectiveness of the firm’s risk management practices based on submitted information, interviews, and site visits.
- Coordinate review activities with other DSRO’s
- Prepare summary of review to management and provide recommendation for remediation, if necessary.
- Notify clearing member firm if remediation is required.
- Follow-up to confirm remediation has taken place.
- Provide monthly and annual status updates on review process.
Requirements:
- Bachelor's degree (or equivalent) required, graduate degree or demonstrable progress towards a graduate degree a plus. Minimum of 4 years of related work experience.
- Prior examiner or compliance/audit experience at a Regulator (ex. FINRA/SEC/CBOE), or financial institution a plus.
- Knowledge of the financial services industry, including market and financial risk.
- Sound understanding of market/credit/liquidity risk management and corresponding mitigation factors.
- Knowledge of SEC and CFTC Rules and Regulations, a plus
- Ability to interact with all levels of management both internally and externally.
- Must possess excellent verbal and written communication skills.
- Self-directed; Ability to work both independently with little direction or oversight and in a team-oriented, collaborative environment.
- Good organization skills; must be detail oriented.
- Ability to prepare clear and concise reports in a timely fashion, which document adequacy and/or concerns.
- Willingness to travel, as required.
- Strong PC skills; comfortable with Windows environment.
- Proficient in all Microsoft Office Applications.
Please note:
This position will be located in our Keller, TX offices. Keller is just outside of Ft. Worth, and was ranked 7th in Money Magazine's list of best cities to live in the United States.
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