Get your Emails warmed up and ready to send
Build sender reputation and reach more inboxes with automated email warmup.
Warm up your emails
Starting at $49/month
Brian Crane
Principal Risk Monitoring Analyst @FINRA
Signup · Get unlimited contacts
WORK HISTORY
Principal Risk Monitoring Analyst @FINRA
New York, NY, US
Monitor and evaluate the financial, operational, and sales practice condition of assigned member firms as it relates to the following risks: market, credit, liquidity, accuracy of regulatory capital, segregation of client assets, sales, money laundering, operations, and fraud and deception.Identify member firms’ potential financial or operational difficulties as well as monitor and evaluate mergers, acquisitions, conversions and significant expansions of business.Prepare risk-based assessments of assigned member firms, conduct strategy meetings with exam team, and participate in member firms’ examinations. Review, analyze, and communicate examination findings to assigned member firms’ senior management. Evaluate firm responses to examination reports to determine if appropriate follow up is taken.Train less experienced colleagues performing similar role.
ABOUT BRIAN CRANE
Experienced leader in risk management with expertise in identifying and resolving financial and operational weaknesses. Develops strategic vision and technology innovation that transform business processes to address regulatory and industry risks. Collaborative manager leading cross-functional teams, to improve compliance, drive best practices and ensure quality standards. Leverages ability to build relationships and influence management to create a culture of compliance and accountability while protecting customers. Selected accomplishments include: • FINRA: Assessed the capital, liquidity, operational, market, credit and sales risks for high risk or complex firms. • ICAP: Sales & Trading, HY, IG, EM, Loans, CDS. • Sailfish Capital Partners: Structured Products. • Ameriprise: Financial Planner/Wealth Management. • Metis: Data Science Bootcamp Expertise includes: • Capital: Capital structure, corporate finance, financial risk management, guarantees & covenants, off-balance sheet exposures, deal due diligence • Liquidity: Liquidity management, intercompany financings, forecasting & stress tests • Financial Relations: Investor, Rating Agency, Bank & Regulators • Performance Management: Business partnering, planning & metrics, modeling, compensation, product profitability, credit reviews, risk assessments • Financial Services: Capital markets, private partnerships, mutual funds, investment management, retail brokerage
This profile is compiled from publicly available professional sources. Unifers is not affiliated with or endorsed by LinkedIn. Request removal of this profile.