Principal Analyst, Risk Monitoring

## Principal Analyst, Risk Monitoring Apply locations:
Jersey City, NJ (Job Posting):
Jericho, NY (Job Posting):
Denver, CO (Job Posting):
Dallas, TX (Job Posting):
Chicago, IL (Job Posting) time type:
Full time posted on:
Posted Yesterday job requisition :
R-010150

About the Role  Join FINRA's Risk Monitoring team and play a meaningful role in protecting investors and maintaining market integrity. As a Senior Risk Monitoring Analyst, you'll work at the forefront of financial regulatory oversight — engaging directly with complex, high-profile member firms, shaping regulatory intelligence, and mentoring the next generation of risk professionals. This is a high-visibility, senior-level position that offers both strategic influence and hands-on impact.##

What You'll Do
* ** Lead risk monitoring activities
** for complex and elevated-risk member firms, exercising independent judgment with the support of a Risk Monitoring Director
* ** Identify emerging and existing risks
** across assigned firms, coordinating with specialists and internal teams to execute a comprehensive monitoring strategy
* ** Collaborate cross-functionally
** with internal departments to analyze regulatory developments, communicate findings, and deliver actionable recommendations
* ** Mentor and coach junior staff**, helping to build a stronger, more capable risk monitoring team
* ** Take on leadership roles
** in special projects and technology initiatives that advance the department's mission
* ** Represent FINRA's values
** through professional conduct, collaborative engagement, and a commitment to investor protection and market integrity — both in-person and virtually
** Required Qualifications
**** Education & Experience
*** Bachelor's degree in Finance, Accounting, Business, or a related field — or an equivalent combination of education and relevant professional experience
* Demonstrated analytical experience in the financial industry, including the ability to absorb regulatory developments and apply them to complex business models
* Proven experience with one or more core industry risk areas, such as
** Fraud and Deception, Money Laundering, or Market Risk
*** FINRA Securities Industry Essentials (SIE) certification, or an acceptable industry equivalent — required upon hire or within 16 months of the start date of the assigned SIE training cohort
** Knowledge
* ** Advanced knowledge 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
** Skills
* ** Strong ability to engage effectively with senior business management and cross-functional teams across multiple locations
* Intermediate written and verbal communication, financial analysis, and research skills
* Self-starter with the ability to manage complex, concurrent, and sometimes unstructured assignments with autonomy and independent judgment
* Intermediate-to-advanced ability to analyze internal and external data to assess member firm risk and develop appropriate regulatory responses
* Proactive, solutions-oriented, and energized by collaboration and the open exchange of ideas
* Intermediate-to-advanced proficiency in
** Microsoft Excel and Microsoft Word
*** Intermediate-to-advanced quantitative and analytical problem-solving skills, including the ability to organize and synthesize large volumes of information  
** Preferred Qualifications
*** Graduate degree (
** MBA or JD**)
* Relevant industry certification(s) beyond the SIE (e.g., CFA, CFE, CAMS, Series licenses)
** Work Conditions:
*** Hybrid work environment, with defined in-person presence requirements.  For work that is performed in Los Angeles and San Francisco, CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, 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…