Principal Analyst, Risk Monitoring

Location: Tysons Corner

Join FINRA's mission to protect investors and ensure market integrity

Are you a seasoned financial regulatory professional ready to make a meaningful impact? FINRA is seeking a Senior Risk Monitoring Analyst to play a pivotal role in safeguarding the integrity of U.S. securities markets. In this high-impact position, you'll identify emerging risks, assess complex member firms, and collaborate across the organization to protect investors and maintain fair markets.

What You'll Do

As a Principal Risk Monitoring Analyst, you'll serve as a trusted advisor and risk expert, reporting directly to a Risk Monitoring Director. Your insights will shape regulatory responses to evolving market risks.

Your

Core Responsibilities:

* Lead Risk Assessments:
Conduct sophisticated risk monitoring of member firms, including complex or elevated-risk organizations, with minimal supervision

* Drive Strategic Intelligence:
Analyze regulatory developments and market trends, translating them into actionable recommendations for senior leadership

* Collaborate Across Functions:
Partner with internal departments to identify, communicate, and address emerging risks across the financial industry

* Mentor Future Leaders:
Coach and develop junior risk monitoring staff, sharing your expertise and fostering a culture of excellence

* Champion

Innovation: Take leadership roles in special projects and technology initiatives that advance FINRA's risk monitoring capabilities

* Execute Team-Based Monitoring:
Coordinate with specialists across the organization to deliver comprehensive risk assessments

* Embody FINRA's Values:
Demonstrate commitment to collaboration, innovation, and investor protection in all interactions-both in-person and virtually

Required Qualifications

Education & Experience:

* 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, with demonstrated ability to interpret and apply regulatory developments to complex business models

* Direct experience addressing one or more key industry risks, such as:
Fraud and Deception, Money Laundering, and Market Risk

Knowledge:

* 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

Skills:

* 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 with ability to work independently and make informed decisions

* Intermediate-to-Advanced ability to analyze diverse data sources to assess member firm risks and develop targeted regulatory responses

Working Style:

* Effective collaborator who builds relationships with senior business leaders across departments and locations

* Proactive and solutions-oriented approach to challenges

* Innovative mindset energized by the open exchange of ideas

* Skilled at accumulating, organizing, and synthesizing large volumes of information

Preferred Qualifications

* Graduate degree (MBA or JD)

* Relevant industry certifications (e.g., CFA, CAMS, Series licenses)

Ready to protect investors and strengthen market integrity? Join a team where your expertise will make a difference every day. At FINRA, you'll work alongside dedicated professionals committed to maintaining fair and transparent markets for all Americans.

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

Please note:

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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…