Associate Principal Analyst, TS Risk Management

FINRA•Rockville, MD

3d•Hybrid

About The Position

The Associate Principal Analyst, Risk Management in Transparency Services performs operational risk assessments and designs controls to mitigate identified risks across business processes. Monitors control effectiveness, partners with operations teams to remediate deficiencies, and supports internal and external audits. Tests operational controls and tracks risk metrics to ensure a robust control environment. This position is an established individual contributor who works under moderate supervision.

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 related professional experience.
Demonstrated experience using Excel to manage large datasets, perform data validation, and generate recurring reports with a high degree of accuracy.
Ability to extrapolate and analyze data and information is required.
Demonstrated analytical and critical thinking skills with attention to detail.
Written and verbal communication skills, including ability to prepare clear, concise reports and presentations for leadership.
Organizational skills with ability to manage multiple projects, deadlines, and priorities simultaneously.

Nice To Haves

Experience with case management systems and documentation practices preferred.
Understanding of risk assessment methodologies in a regulatory context preferred.

Responsibilities

Performs quality control reviews and statistical analysis across multiple team functions to ensure policy compliance and drive continuous improvement through targeted action plans.
Administers the department's Procedures Portal, including access control, content accuracy, user permissions, update schedules, and check-out/check-in workflows.
Identifies and documents operational, regulatory, and business risks; perform preliminary risk assessments.
Conducts control testing per defined test plans; documents results, exceptions, deficiencies, and tracks remediation activities.
Maintains risk management databases and filing systems, prepares reports, dashboards, and documentation, and conducts trend analysis and ad hoc risk analysis for management.
Monitors workflow and task completion; responds to internal and external inquiries; escalates complex or sensitive matters appropriately.
Demonstrates FINRA's values.
Collaborates in-person and virtually to support investor protection and market integrity.
Contributes to the development and testing of analytics tools, investigative methodologies, and process improvements that enhance the efficiency and effectiveness of team processes.
Remains current on industry trends, practices and regulatory impacts.

Benefits

Comprehensive health, dental and vision insurance
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 insurance
Immediate participation and vesting in a 401(k) plan with company match
Eligibility for participation in an additional FINRA-funded retirement contribution
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance
Wellness programs
15 days of paid time off
5 personal days
9 sick days
Two volunteer service days
Military leave
Jury duty leave
Bereavement leave
Voting and election official leave
Care of a family member leave
Childbirth and parental leave
Nine paid holidays