Associate Principal Analyst, Risk Monitoring - All Finra Locations

About the position

FINRA is dedicated to protecting investors and ensuring market integrity. As an independent, not-for-profit organization, we oversee brokerage firms and exchange markets, writing and enforcing rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the United States. Every day, we work to safeguard the investing public against fraud and bad practices, making us a vital force in maintaining trust and fairness in America's financial markets. The Opportunity Join our team as a Risk Monitoring Analyst and play a pivotal role in safeguarding investors and maintaining market integrity. In this dynamic mid-level position, you'll conduct sophisticated risk assessments of FINRA member firms, identify emerging threats to the financial system, and mentor the next generation of regulatory professionals. Working closely with a Risk Monitoring Director, you'll have the opportunity to make a real impact by analyzing complex firm operations, collaborating across departments, and contributing to strategic initiatives that protect millions of investors.

Responsibilities

  • Monitor Complex Firms : Conduct comprehensive risk monitoring of member firms, including those with elevated risk profiles, ensuring thorough oversight and regulatory compliance
  • Drive Strategic Intelligence : Collaborate across departments to analyze regulatory trends, communicate critical findings, and develop actionable recommendations that shape our supervisory approach
  • Lead and Mentor : Guide entry-level staff through coaching and mentorship while taking on leadership roles in special projects and technology initiatives
  • Execute Team-Based Monitoring : Work collaboratively with specialists and cross-functional teams to develop and implement risk-based monitoring strategies for your assigned portfolio
  • Innovate and Problem-Solve : Tackle unstructured, complex assignments that require independent judgment, creativity, and a solutions-oriented mindset
  • Embody FINRA Values : Demonstrate our commitment to collaboration, integrity, and excellence in both virtual and in-person settings

Requirements

  • Bachelor's degree in Finance, Accounting, Business, or related field (or equivalent combination of education and experience)
  • Proven analytical experience in the financial industry, including the ability to interpret regulatory developments and apply them to complex business models
  • Demonstrated experience with at least one key industry risk area (e.g., Fraud and Deception, Money Laundering, Market Risk)
  • Intermediate understanding of FINRA's 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
  • Strong written and verbal communication abilities
  • Intermediate financial analysis and research capabilities
  • Intermediate-to-advanced proficiency in analyzing internal and external data to assess firm risks and develop regulatory responses
  • Ability to manage multiple complex, concurrent assignments with autonomy
  • Intermediate proficiency in Microsoft Excel and Microsoft Word
  • Strong quantitative, analytical, and problem-solving skills with the ability to synthesize large volumes of information
  • Proven ability to engage effectively with senior management and collaborate across departments and locations

Nice-to-haves

  • Graduate degree (MBA or JD)
  • Relevant industry certifications (e.g., CFA, CFE, CAMS, Series licenses)

Benefits

  • Employees may be eligible for a discretionary bonus in addition to base pay.
  • Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law.
  • As part of its dedication to employee wellness, 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, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
  • 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, unless otherwise required by law (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 after 90 days of employment).
  • Full-time employees receive nine paid holidays.
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