Independent Asset Verification and Valuation (IAVV) Specialist Team conducts and advises on reviews across FINRAs Regulatory Programs as it relates to independent verification and valuation of customer and/or firm assets held at member firms.
Essential Job Functions:
Leads examinations of all levels of risk and complexity with moderate supervision.
Conducts and memorializes discovery and risk reviews of all levels of risk and complexity.
Participates in reviews of high risk and complexity under general supervision.
Conducts consultation tasks of high complexity undermoderate 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, serving on conference panels, andproviding 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.
Education & Experience Requirements:
Bachelor's Degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Business Administration, Cybersecurity, Computer Forensics, Data Analytics or related fields preferred. Advanced degree/certification a plus.
Advanced knowledge related to SEA Rule 15c3-1, SEA rule 15c3-3, SEA Rules 17a-1 through 17a-5, as well as back-office clearance and operations, including settlement and custody, understanding of customer and firm trading account activity and related statements, independent asset and price verification, stock record, cash/security position reconciliations, and various broker dealer business activities a plus.
Knowledge Requirements:
Advanced knowledge of FINRA's risk fundamentals.
Advanced knowledge of securities rules and regulations.
Advanced knowledge of risks/products specific to specialization.
Skill Requirements:
Ability to effectively articulate matters with moderate degree of complexity through verbal and written communications.
Advanced critical thinking, research, and analytical skills.
Proficient in utilizing available internal resources.
Ability to manage time effectively and complete assignments within budgeted timeframes.
Ability to work independently with moderate supervision.
Ability to identify and prioritize risk.
For work that is performed in CA, Washington, DC, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidates skill set, level of experience, education, and internal peer compensation comparisons.
California: Minimum Salary $106,400, Maximum Salary $200,200
Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800
Colorado/Hawaii: Minimum Salary $92,500, Maximum Salary $166,800
New York, NY: Minimum Salary $111,000, Maximum Salary $200,200
Washington State: Minimum Salary $92,500, Maximum Salary $191,800
#LI-Hybrid
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.
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.
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Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits.
Time Off and Paid Leave*
FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available...

Equal Opportunity Employer - minorities/females/veterans/individuals with disabilities/sexual orientation/gender identity