Principal Analyst, Risk Monitoring

FINRA • Jersey City, NJ

4d • $112,300 - $211,400 • Hybrid

About The Position

Join FINRA's Risk Monitoring team and play a meaningful role in protecting investors and maintaining market integrity. As a Senior Risk Monitoring Analyst, you'll work at the forefront of financial regulatory oversight — engaging directly with complex, high-profile member firms, shaping regulatory intelligence, and mentoring the next generation of risk professionals. This is a high-visibility, senior-level position that offers both strategic influence and hands-on impact.

Requirements

• Bachelor's degree in Finance, Accounting, Business, or a related field — or an equivalent combination of education and relevant professional experience
• Demonstrated analytical experience in the financial industry, including the ability to absorb regulatory developments and apply them to complex business models
• Proven experience with one or more core industry risk areas, such as Fraud and Deception, Money Laundering, or Market Risk
• FINRA Securities Industry Essentials (SIE) certification, or an acceptable industry equivalent — required upon hire or within 16 months of the start date of the assigned SIE training cohort
• Advanced knowledge 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
• Strong ability to engage effectively with senior business management and cross-functional teams across multiple locations
• Intermediate written and verbal communication, financial analysis, and research skills
• Self-starter with the ability to manage complex, concurrent, and sometimes unstructured assignments with autonomy and independent judgment
• Intermediate-to-advanced ability to analyze internal and external data to assess member firm risk and develop appropriate regulatory responses
• Proactive, solutions-oriented, and energized by collaboration and the open exchange of ideas
• Intermediate-to-advanced proficiency in Microsoft Excel and Microsoft Word
• Intermediate-to-advanced quantitative and analytical problem-solving skills, including the ability to organize and synthesize large volumes of information

Nice To Haves

• Graduate degree (MBA or JD)
• Relevant industry certification(s) beyond the SIE (e.g., CFA, CFE, CAMS, Series licenses)

Responsibilities

• Lead risk monitoring activities for complex and elevated-risk member firms, exercising independent judgment with the support of a Risk Monitoring Director
• Identify emerging and existing risks across assigned firms, coordinating with specialists and internal teams to execute a comprehensive monitoring strategy
• Collaborate cross-functionally with internal departments to analyze regulatory developments, communicate findings, and deliver actionable recommendations
• Mentor and coach junior staff, helping to build a stronger, more capable risk monitoring team
• Take on leadership roles in special projects and technology initiatives that advance the department's mission
• Represent FINRA's values through professional conduct, collaborative engagement, and a commitment to investor protection and market integrity — 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
• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Senior