Associate Principal Analyst, Risk Monitoring

Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.

• This is a mid-level position with staff developing in role and reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks.
• Conducts risk monitoring for member firms that can include complex or elevated risk firms with guidance and moderate supervision of a Risk Monitoring Director or designee.
• Collaborates with internal departments to analyze, communicate and make recommendations with respect to regulatory intelligence.
• Mentor and coach entry-level risk monitoring staff.
• Serve in leadership roles related to special projects and technology initiatives.
• Ability to perform as part of a team conducting monitoring (including coordination with specialists) to execute against risks of assigned firms.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

• Bachelor's Degree in Finance, Accounting, Business or related field(s), or equivalent combination of education and relevant experience required.
• Graduate degree (MBA or JD) and/or relevant industry certification(s) preferred.
• Demonstrated analytical skills and experience, including financial industry, absorbing/processing regulatory developments and applying them to complex business models.
• Demonstrated experience relating to one or more of the inherent industry risks (e.g. Fraud and Deception, Money Laundering, and Market).
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

• Intermediate knowledge 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.

• Ability to engage and work effectively with senior business management, across departments, and with staff in multiple locations, including partnering and collaborating with various internal departments for the identification and trending of industry and business model risks for summation and reporting to senior management.
• Intermediate written and verbal communication, financial analysis, and research skills.
• Developing ability to administer increasingly complex assignments concurrently, including unstructured assignments that require autonomy and independent judgment.
• Intermediate-to-Advanced ability to analyze internal and external data to assess inherent risks of member firms and develop regulatory responses to address higher risk areas.
• Be proactive & solutions-oriented; innovative; collaborative and energized by the open exchange of ideas.
• Intermediate level proficiency in Microsoft Excel and Microsoft Word.
• Intermediate quantitative, analytical, problem solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.

Hybrid work environment, with defined in-person presence requirements. For work that is performed in Los Angeles and San Francisco, CA, CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position.

In addition to location, actual compensation is based on various factors, including but not limited to,…