Principal Analyst, Risk Monitoring

FINRA•New York City, NY

4d•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