Principal Analyst, Risk Monitoring

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.

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

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