Principal Analyst, Regulatory Operations, Risk Intelligence Operations Center

FINRA•New York City, NY

14h•Hybrid

About The Position

The Principal Analyst is an experienced individual contributor in Regulatory Operations, Risk Intelligence Operations Center (RIOC). Working independently with minimal supervision, the role helps transform risk data into coordinated regulatory action across Regulatory Operations. It supports FINRA’s efforts to focus resources on significant threats by identifying higher-risk firms, branches, and individuals; creating intelligence-driven work plans for regulatory programs; and evaluating completed regulatory work. The position analyzes information from multiple regulatory data sources, develops execution-focused guidance, supports real-time information sharing, evaluates risk predictions against actual outcomes, and contributes to operational metrics. It also undertakes cross-functional processes and special projects, facilitates meetings and staff training, assesses procedures, participates in governance, maintains knowledge of departmental functions and industry developments, and builds relationships with internal and external stakeholders. The role may lead projects and initiatives, coach junior colleagues, and model accountable, inclusive leadership in support of FINRA’s mission of investor protection and market integrity. The work environment is hybrid, with defined in-person presence requirements. Compensation varies by work location and candidate factors. Employees may be eligible for a discretionary bonus in addition to base pay; non-exempt employees are eligible for overtime pay in accordance with applicable law. FINRA provides a comprehensive benefits and paid-leave program. Employees are subject to FINRA’s Code of Conduct requirements, including brokerage-account disclosures and investment restrictions.

Requirements

Bachelor’s degree or an equivalent combination of education and experience.
Demonstrated leadership skills in accounting, audit, legal, compliance, or a related field.
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.
Demonstrated strong or expert working knowledge of securities industry rules, regulations, and related guidelines based on prior work experience.
Proficiency with Microsoft Office applications.
Excellent interpersonal, negotiation, and diplomacy skills, including comfort interacting with FINRA senior management teams.
Ability to establish and maintain effective working relationships at all organizational levels, internally and externally.
Leadership skills, including the ability to work effectively with people, make decisions, find solutions, encourage and support change, and handle problem situations involving member firms and individuals.
Excellent written and verbal communication, interpersonal, and presentation skills.
Self-starter able to manage multiple complex assignments concurrently, including unstructured assignments requiring autonomy and independent judgment.
Ability to work independently, with strong project-management and organizational skills.

Nice To Haves

A major in Accounting, Finance, Economics, or Business Administration.
A graduate degree such as an MBA or JD.
Relevant industry certifications.

Responsibilities

Analyze multiple regulatory data sources—including complaints, examination findings, financial data, market surveillance patterns, tips, and intelligence—to identify and assess risks across firms, branches, and registered representatives.
Help create and disseminate execution-focused guidance and content that supports consistent, effective regulatory actions across programs.
Partner with Regulatory Operations colleagues to facilitate real-time information sharing across regulatory programs.
Analyze completed regulatory work by comparing predictions with actual outcomes to validate and improve risk identification and support the intelligence life cycle.
Participate in developing and maintaining operational metrics and provide senior management with insight into key performance and key risk indicators.
Execute cross-functional regulatory tasks and processes that benefit multiple programs.
Facilitate departmental meetings to communicate updates and train staff on changes to processes, tools, controls, technology, policies, and procedures.
Periodically assess procedures, recommend updates or further development, and coordinate efforts to identify, prioritize, and resolve inconsistent procedural application where warranted.
Participate in applicable Governance Committees and act as a lead when necessary.
Maintain advanced working knowledge of departmental functions and industry developments.
Cultivate working relationships across Regulatory Operations, FINRA, and external stakeholders, including the SEC, states, other regulatory agencies, and the industry.
Partner with external stakeholders and senior enterprise leaders to accomplish strategic objectives, including issue remediation.
Lead special projects and ad hoc initiatives, including internal and external requests.
Coach junior colleagues in techniques, processes, and responsibilities.
Model inspirational, accountable, and supportive leadership; develop and empower talent, foster an inclusive culture, and promote employee engagement.
Demonstrate FINRA’s values and collaborate in person and virtually in support of investor protection and market integrity.

Benefits

Comprehensive health insurance
Dental insurance
Vision insurance
Basic life insurance
Accidental death and dismemberment insurance
Supplemental life insurance
Spouse/domestic partner and dependent life insurance
Spouse/domestic partner and dependent accidental death and dismemberment insurance
Short- and long-term disability insurance
Long-term care insurance
Business travel accident insurance
Legal insurance
401(k) plan with company match and immediate participation and vesting
Eligibility to participate in an additional FINRA-funded retirement contribution
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance
Wellness programs
Paid time off starting at 15 days and increasing with years of service up to 25 days
Five personal days
Nine sick days
Two volunteer service days for full-time schedules
Military leave
Jury duty leave
Bereavement leave
Voting and election official leave
Family-member-care leave after 90 days of employment
Childbirth and parental leave after 90 days of employment
Nine paid holidays for full-time employees
Potential discretionary bonus
Overtime pay for non-exempt employees, in accordance with applicable law