Associate Principal Analyst, Risk Monitoring

FINRA•Jersey City, NJ

1d•$96,600 - $172,800•Hybrid

About The Position

The Associate Principal Analyst conducts risk monitoring activities and ongoing risk assessments of FINRA member firms, reporting to a Risk Monitoring Director. This is a mid-level position in which staff continue to develop in role and support the director in identifying existing and emerging risks. The role may involve monitoring complex or elevated-risk firms with guidance and moderate supervision from a Risk Monitoring Director or designee. The position collaborates with internal departments to analyze and communicate regulatory intelligence and make recommendations. It also involves mentoring entry-level risk monitoring staff, taking leadership roles in special projects and technology initiatives, and working as part of a team—including coordinating with specialists—to monitor assigned firms. Collaboration may take place in person and virtually in support of FINRA’s investor-protection and market-integrity mission. The work is performed in a hybrid environment with defined in-person presence requirements.

Requirements

Bachelor’s degree in Finance, Accounting, Business, or a related field, or an equivalent combination of education and relevant experience.
Demonstrated analytical skills and experience, including financial-industry experience and the ability to absorb and process regulatory developments and apply them to complex business models.
Demonstrated experience relating to one or more inherent industry risks, such as fraud and deception, money laundering, or market risk.
FINRA Securities Industry Essentials (SIE) certification or an acceptable industry-equivalent certification upon hire or within 16 months of the start date of the assigned SIE training cohort.
Intermediate knowledge of FINRA risk fundamentals, securities rules and regulations, and firm business models, business lines, customer bases, products, and services.
Basic knowledge of U.S. GAAP accounting standards.
Ability to engage and work effectively with senior business management, across departments, and with staff in multiple locations, including collaborating with internal departments to identify and trend industry and business-model risks for 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 requiring autonomy and independent judgment.
Intermediate-to-advanced ability to analyze internal and external data, assess inherent risks of member firms, and develop regulatory responses for higher-risk areas.
Proactive, solutions-oriented, innovative, and collaborative approach, with enthusiasm for the open exchange of ideas.
Intermediate proficiency in Microsoft Excel and Microsoft Word.
Intermediate quantitative, analytical, and problem-solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.

Nice To Haves

Graduate degree (MBA or JD).
Relevant industry certifications.

Responsibilities

Conduct risk monitoring and ongoing risk assessments of FINRA member firms, including complex or elevated-risk firms with guidance and moderate supervision.
Support the Risk Monitoring Director in identifying existing and emerging risks.
Collaborate with internal departments to analyze and communicate regulatory intelligence and make recommendations.
Mentor and coach entry-level risk monitoring staff.
Serve in leadership roles related to special projects and technology initiatives.
Work as part of a monitoring team, including coordinating with specialists, to address risks at assigned firms.
Collaborate in person and virtually in furtherance of FINRA’s investor-protection and market-integrity mission.
Demonstrate FINRA’s values.

Benefits

Discretionary bonus may be available in addition to base pay.
Overtime pay for non-exempt employees, in accordance with applicable law.
Comprehensive health insurance.
Dental insurance.
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 insurance.
Short- and long-term disability insurance.
Long-term care insurance.
Business travel accident insurance.
Legal insurance.
401(k) plan with immediate participation and vesting, and company match.
Eligibility to participate in an additional FINRA-funded retirement contribution.
Tuition reimbursement.
Commuter benefits.
Adoption assistance.
Backup family care.
Surrogacy benefits.
Employee assistance and wellness programs.
Paid time off starting at 15 days and increasing with years of service up to 25 days.
Five personal days and nine sick days, prorated in the first year as applicable.
Two volunteer service days for employees on a full-time schedule.
Paid military leave, jury duty leave, bereavement leave, voting and election official leave, family-member-care leave after 90 days of employment, and childbirth and parental leave after 90 days of employment.
Nine paid holidays for full-time employees.