Principal Analyst, Regulatory Operations, Risk Intelligence Operations Center

This is an experienced individual contributor role in Regulatory Operations, Risk Intelligence Operations Center (RIOC), which works independently with minimal supervision to assist with the transformation of risk data into coordinated regulatory action across Regulatory Operations. This role will provide support to continuously ensure FINRA’s resources focus on the threats that matter most by identifying the firms, branches, and individuals that pose the highest risk, creating intelligence-driven work plans for Regulatory Operations programs, and evaluating the results from completed regulatory work.

Essential Job Functions:

Participates in and/or leads the analysis of multiple regulatory data sources (complaints, examination findings, financial data, market surveillance patterns, tips, and intelligence) to identify and assess risks across firms, branches, and registered representatives

Assists in and/or leads the creation and dissemination of execution-focused guidance and content to support consistent, effective regulatory actions across programs

Partners with Regulatory Operations team members to facilitate real-time information sharing across regulatory programs.

Conducts post-regulatory work analysis comparing predictions versus reality to validate and improve risk identification and provide continuous support of the intelligence life  addition to providing support, actively participates in the development and maintenance of operational metrics, providing insight into key performance and key risk indicators for senior management.

Executes cross-functional regulatory tasks and processes that benefit multiple programs.

Facilitates departmental-wide meetings to communicate updates and train staff on programmatic changes to processes, tools, controls, technology, policy/procedures.

Periodically assesses procedures to determine if further development or updates are required, making recommendations as needed. Where warranted, coordinates efforts to identify, prioritize and resolve areas of inconsistent procedural application.

Participates, and where necessary, acts as a lead, on applicable Governance Committees.

Maintains advanced working knowledge of departmental functions and industry developments.

Cultivates strong working relationships across Regulatory Operations, and throughout FINRA, and other external stakeholders, including the SEC, states, other regulatory agencies, and the industry.

Partners with external stakeholders and senior leaders across the enterprise to accomplish strategic objectives, including, but not limited to issue remediation.

Leads special projects and ad hoc initiatives including, but not limited to, internal and external requests.

Coaches more junior colleagues in techniques, processes, and responsibilities.

Models inspirational, accountable, and supportive leadership, develops and empowers talent at all levels, fosters an inclusive culture, and creates an environment of strong employee engagement.

Demonstration of FINRA’s values.

Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Education/Experience Requirements:

Bachelor's Degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Business Administration, graduate degree (MBA or JD) and/or relevant industry certification(s) a plus.

Demonstrated leadership skills within accounting, audit, legal, compliance or related field(s).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.

Knowledge Requirements:
Demonstrated strong/expert working knowledge of…