Associate Principal Analyst, Risk Monitoring - All FINRA Locations

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 senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties.
• Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal 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 more junior 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.

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).

Knowledge Requirements:

• 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.

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.
• Self-starter with ability to administer 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-to-Advanced level proficiency in Microsoft Excel and Microsoft Word.
• Intermediate-to-Advanced quantitative, analytical, problem solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.

Other Responsibilities:

• Participates in initiatives across Surveillance
• Remains current on industry trends, practices, and regulatory impacts 

Education/Experience Requirements:

• Bachelor’s degree and a minimum of four (4) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.
• Demonstrated understanding of surveillance development lifecycle and goal attainment skills.
• Working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder.
• Experience identifying potential securities rule violations.
• Experience working on routine projects independently. 

Working Conditions:

• Hybrid work environment (remote/office) with hours which may extend beyond normal business hours.
• Travel will be required, as necessary. 

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location. 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 internal peer compensation comparisons.

CA: Minimum Salary $94,200, Maximum Salary