Principal Analyst, Risk Monitoring

Responsibilities

• Conduct sophisticated risk monitoring of member firms, including complex or elevated-risk organizations, with minimal supervision
• Analyze regulatory developments and market trends, translating them into actionable recommendations for senior leadership
• Partner with internal departments to identify, communicate, and address emerging risks across the financial industry
• Coach and develop junior risk monitoring staff, sharing your expertise and fostering a culture of excellence
• Take leadership roles in special projects and technology initiatives that advance FINRA's risk monitoring capabilities
• Coordinate with specialists across the organization to deliver comprehensive risk assessments
• Demonstrate commitment to collaboration, innovation, and investor protection in all interactions

• Bachelor's degree in Finance, Accounting, Business, or related field (or equivalent combination of education and experience)
• Proven analytical experience in the financial services industry
• Direct experience addressing one or more key industry risks:
  Fraud and Deception, Money Laundering, and Market Risk
• Advanced understanding of FINRA's risk fundamentals
• Intermediate-to-Advanced knowledge of securities rules and regulations
• Intermediate-to-Advanced knowledge of firm business models, business lines, customer bases, products, and services
• Intermediate knowledge of U.S. GAAP accounting standards
• Intermediate-to-Advanced proficiency in Microsoft Excel and Word
• Intermediate written and verbal communication skills with ability to present complex information clearly
• Strong financial analysis and research capabilities
• Intermediate-to-Advanced quantitative and analytical problem-solving abilities
• Proven ability to manage multiple complex, unstructured assignments simultaneously with autonomy and sound judgment
• Self-starter mentality and ability to work independently