Principal Analyst, Risk Monitoring
FINRA•Chicago, IL
•Hybrid
About The Position
Join FINRA's mission to protect investors and ensure market integrity. FINRA is seeking a Senior Risk Monitoring Analyst to play a pivotal role in safeguarding the integrity of U.S. securities markets. In this high-impact position, you'll identify emerging risks, assess complex member firms, and collaborate across the organization to protect investors and maintain fair markets. As a Principal Risk Monitoring Analyst, you'll serve as a trusted advisor and risk expert, reporting directly to a Risk Monitoring Director. Your insights will shape regulatory responses to evolving market risks.
Requirements
- Bachelor's degree in Finance, Accounting, Business, or related field (or equivalent combination of education and experience)
- Proven analytical experience in the financial services industry, with demonstrated ability to interpret and apply regulatory developments to complex business models
- Direct experience addressing one or more key industry risks, such as: Fraud and Deception, Money Laundering, and Market Risk
- 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
- Intermediate-to-Advanced proficiency in Microsoft Excel and Word
- Intermediate written and verbal communication skills with ability to present complex information clearly
- Strong financial analysis and research capabilities
- Intermediate-to-Advanced quantitative and analytical problem-solving abilities
- Proven ability to manage multiple complex, unstructured assignments simultaneously with autonomy and sound judgment
- Self-starter mentality with ability to work independently and make informed decisions
- Intermediate-to-Advanced ability to analyze diverse data sources to assess member firm risks and develop targeted regulatory responses
- Effective collaborator who builds relationships with senior business leaders across departments and locations
- Proactive and solutions-oriented approach to challenges
- Innovative mindset energized by the open exchange of ideas
- Skilled at accumulating, organizing, and synthesizing large volumes of information
Nice To Haves
- Graduate degree (MBA or JD)
- Relevant industry certifications (e.g., CFA, CAMS, Series licenses)
Responsibilities
- Lead Risk Assessments: Conduct sophisticated risk monitoring of member firms, including complex or elevated-risk organizations, with minimal supervision
- Drive Strategic Intelligence: Analyze regulatory developments and market trends, translating them into actionable recommendations for senior leadership
- Collaborate Across Functions: Partner with internal departments to identify, communicate, and address emerging risks across the financial industry
- Mentor Future Leaders: Coach and develop junior risk monitoring staff, sharing your expertise and fostering a culture of excellence
- Champion Innovation: Take leadership roles in special projects and technology initiatives that advance FINRA's risk monitoring capabilities
- Execute Team-Based Monitoring: Coordinate with specialists across the organization to deliver comprehensive risk assessments
- Embody FINRA's Values: Demonstrate commitment to collaboration, innovation, and investor protection in all interactions—both in-person and virtually
Benefits
- discretionary bonus
- overtime pay
- 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
- 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
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What This Job Offers
Job Type
Full-time
Career Level
Senior
