Associate Analyst Jobs

About The Position

Requirements

• Bachelor’s degree in Finance, Accounting, Business, or a related field, or an equivalent combination of education and relevant experience.
• Demonstrated analytical skills and experience, including financial-industry experience and the ability to absorb and process regulatory developments and apply them to complex business models.
• Demonstrated experience relating to one or more inherent industry risks, such as fraud and deception, money laundering, or market risk.
• FINRA Securities Industry Essentials (SIE) certification or an acceptable industry-equivalent certification upon hire or within 16 months of the start date of the assigned SIE training cohort.
• Intermediate knowledge of FINRA risk fundamentals and securities rules and regulations.
• Intermediate knowledge of firm business models, business lines, customer bases, products, and services.
• Basic knowledge of U.S. GAAP accounting standards.
• Ability to work effectively with senior business management and staff across departments and locations, and to partner with internal departments to identify and trend industry and business-model risks for reporting to senior management.
• Intermediate written and verbal communication, financial analysis, and research skills.
• Developing ability to manage increasingly complex concurrent assignments, including unstructured assignments requiring autonomy and independent judgment.
• Intermediate-to-advanced ability to analyze internal and external data to assess member-firm inherent risks and develop regulatory responses for higher-risk areas.
• Proactive, solutions-oriented, innovative, collaborative approach and enthusiasm for the open exchange of ideas.
• Intermediate proficiency in Microsoft Excel and Microsoft Word.
• Intermediate quantitative, analytical, and problem-solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.

Nice To Haves

• Graduate degree (MBA or JD).
• Relevant industry certifications.

Responsibilities

• Conduct risk monitoring activities and ongoing risk assessments of FINRA member firms, including complex or elevated-risk firms with guidance and moderate supervision.
• Support the Risk Monitoring Director in identifying existing and emerging risks.
• Collaborate with internal departments to analyze and communicate regulatory intelligence and make recommendations.
• Work as part of a monitoring team, coordinating with specialists to address risks associated with assigned firms.
• Mentor and coach entry-level risk monitoring staff.
• Serve in leadership roles related to special projects and technology initiatives.
• Collaborate in person and virtually in support of FINRA’s mission of investor protection and market integrity.
• Demonstrate FINRA’s values.

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 insurance.
• Short- and long-term disability, long-term care, business travel accident, and legal coverage.
• Immediate participation and vesting in a 401(k) plan with company match.
• Eligibility to participate in an additional FINRA-funded retirement contribution.
• Tuition reimbursement.
• Commuter benefits.
• Adoption assistance, backup family care, and surrogacy benefits.
• Employee assistance and wellness programs.
• Paid time off starting at 15 days and increasing with years of service up to 25 days.
• Five personal days and nine sick days, prorated in the first year where applicable.
• Two volunteer service days for employees on a full-time schedule.
• Paid military, jury duty, bereavement, voting and election official, family-member care, childbirth, and parental leave, subject to stated eligibility and applicable conditions.
• Nine paid holidays for full-time employees.
• Employees may be eligible for a discretionary bonus.
• Non-exempt employees are eligible for overtime pay in accordance with applicable law.