Principal Analyst, Risk Monitoring

FINRA•Jersey City, NJ

8d•$107,500 - $194,100•Hybrid

About The Position

The Principal Analyst, Risk Monitoring conducts risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. This senior-level role supports the director in identifying existing and emerging risks and interacts with internal and external parties. The analyst may monitor complex or elevated-risk firms with guidance and minimal supervision from a director or designee. The position collaborates with internal departments to analyze regulatory intelligence, communicate findings, and make recommendations. It also includes mentoring and coaching junior risk monitoring staff and taking leadership roles in special projects and technology initiatives. The analyst works as part of a team, including coordinating with specialists, to conduct monitoring and address risks at assigned firms. The role requires collaboration in person and virtually in support of FINRA’s mission of investor protection and market integrity. The position is hybrid, with defined in-person presence requirements. Compensation varies by location and candidate qualifications. Employees may be eligible for a discretionary bonus, and the role includes a broad benefits and paid-leave package.

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 is required upon hire or within 16 months of the start date of the assigned SIE training cohort.
Advanced knowledge of FINRA risk fundamentals.
Intermediate-to-advanced knowledge of securities rules and regulations and of firm business models, business lines, customer bases, products, and services.
Intermediate knowledge of U.S. GAAP accounting standards.
Ability to work effectively with senior business management and staff across departments and locations, and to partner 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.
Ability to administer complex assignments concurrently, including unstructured assignments requiring autonomy and independent judgment.
Intermediate-to-advanced ability to analyze internal and external data, assess member-firm inherent risks, and develop regulatory responses for higher-risk areas.
Intermediate-to-advanced proficiency in Microsoft Excel and Microsoft Word.
Intermediate-to-advanced quantitative, analytical, and problem-solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.
Proactive, solutions-oriented, innovative, collaborative, and energized by open exchange of ideas.

Nice To Haves

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

Responsibilities

Conduct risk monitoring activities and ongoing risk assessments of FINRA member firms, including complex or elevated-risk firms with guidance and minimal supervision.
Support the Risk Monitoring Director in identifying existing and emerging risks and interact with internal and external parties.
Collaborate with internal departments to analyze and communicate regulatory intelligence and make recommendations.
Mentor and coach junior risk monitoring staff.
Serve in leadership roles for 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 support of FINRA’s investor-protection and market-integrity mission.
Demonstrate FINRA’s values.

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 insurance.
Short- and long-term disability and long-term care insurance.
Business travel accident coverage and legal insurance.
Immediate participation and vesting in a 401(k) plan with company match.
Eligibility for an additional FINRA-funded retirement contribution.
Tuition reimbursement.
Commuter benefits.
Adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
Potential discretionary bonus.
Paid time off starting at 15 days, increasing with years of service up to 25 days.
Five personal days and nine sick days.
Two volunteer service days based on a full-time schedule.
Military, jury duty, bereavement, voting and election official, family-member care, childbirth, and parental leave.
Nine paid holidays for full-time employees.