Principal Analyst, Risk Monitoring

FINRA•Jersey City, NJ

3d•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

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
Discretionary bonus
Overtime pay