Principal Analyst, Risk Monitoring

About FINRA
FINRA is dedicated to protecting investors and ensuring market integrity. As an independent, not-for-profit organization, we oversee brokerage firms and exchange markets, writing and enforcing rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the United States. Every day, we work to safeguard the investing public against fraud and bad practices, making us a vital force in maintaining trust and fairness in America's financial markets.

The Opportunity
Elevate your regulatory career as a Senior Risk Monitoring Analyst, where you'll serve as a strategic advisor in identifying and mitigating risks that threaten investor protection and market integrity. This senior-level position puts you at the forefront of sophisticated risk analysis, working with minimal supervision to assess complex and elevated-risk member firms. You'll mentor emerging talent, lead high-impact projects, collaborate with senior leadership across FINRA, and shape regulatory responses to evolving market threats. If you're a seasoned risk professional ready to leverage your expertise at the highest levels of securities regulation, this is your opportunity to make a lasting impact.

What You'll Do

• Lead Complex Risk Assessments: Independently conduct sophisticated risk monitoring of member firms, including those with complex business models or elevated risk profiles, with minimal supervision
• Drive Strategic Intelligence: Analyze regulatory trends and emerging risks, collaborating across departments to develop actionable recommendations that inform FINRA's supervisory strategy
• Advise Senior Leadership: Engage directly with senior business management and executive stakeholders, presenting risk findings and regulatory intelligence that shape organizational priorities
• Mentor the Next Generation: Coach and develop junior risk monitoring staff, sharing your expertise and elevating the capabilities of the entire team
• Lead Strategic Initiatives: Take ownership of special projects and technology initiatives, driving innovation in risk monitoring methodologies and tools
• Execute Team-Based Strategies: Coordinate with specialists and cross-functional teams to develop and implement comprehensive risk-based monitoring approaches for your assigned firm portfolio
• Synthesize Complex Data: Analyze vast amounts of internal and external data to identify risk patterns, develop insights, and craft regulatory responses that address higher-risk areas
• Influence Regulatory Direction: Partner with internal departments to identify and trend industry and business model risks, delivering summaries and strategic recommendations to senior management

Required Qualifications

Education & Experience:

• Bachelor's degree in Finance, Accounting, Business, or related field (or equivalent combination of education and experience)

• Extensive demonstrated analytical experience in the financial industry, including interpreting regulatory developments and applying them to complex business models

• Proven experience addressing one or more key industry risks (Fraud and Deception, Money Laundering, 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:

• Strong ability to engage effectively with senior business management and collaborate across departments and locations

• Intermediate written and verbal communication abilities with proven financial analysis and research skills

• Self-starter capable of managing multiple complex, concurrent assignments requiring autonomy and independent judgment

• Intermediate-to-advanced proficiency in analyzing internal and external data to assess firm risks and develop targeted regulatory responses

• Intermediate-to-advanced proficiency in Microsoft Excel and Microsoft Word

• Strong quantitative, analytical, and problem-solving capabilities with ability to synthesize large volumes of complex information

• Proactive, solutions-oriented mindset with innovative thinking and enthusiasm for collaborative idea ex