Associate Principal Analyst, Risk Monitoring

Job title: Associate Principal Analyst, Risk Monitoring

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

Essential Job Functions:

• 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.

Education/Experience Requirements:

• 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.

Knowledge Requirements:

• 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.

Skill Requirements:

• 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.

Work Conditions:

• 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, the candidate’s skill set, level of experience, education, and market considerations.

Los Angeles, CA: $88,252 - $110,315

San Francisco, CA: $92,665 - $138,997

Boston, MA: $96,600 - $172,800

Chicago, IL: $92,400 - $165,300

Denver, CO: $83,900 - $150,300

Jericho, NY: $96,600 - $172,800

Jersey City, NJ: $100,800 - $180,400

Philadelphia, PA: $92,400 - $165,300

New York, NY: $100,800 - $180,400

Rockville, MD: $96,600 - $172,800

Tysons, VA: $96,600 - $172,800

Washington, DC: $96,600 - $ 172,800

Woodbridge, NJ: $96,600 - $172,800

Connecticut State: $83,900 - $180,400

Washington State: $83,900 - $180,400

LIHybrid

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.

Washington state applicants: click here for required notice(s).

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity Employer

All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s Employee Relations team.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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