Principal Analyst, Risk Monitoring

Join FINRA's mission to protect investors and ensure market integrity. Are you a seasoned financial regulatory professional ready to make a meaningful impact? 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. What You'll Do 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. Core 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 Required Qualifications Education & Experience 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 Knowledge 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 Skills 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 Working Style 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 Preferred Qualifications Graduate degree (MBA or JD) Relevant industry certifications (e.g., CFA, CAMS, Series licenses) Ready to protect investors and strengthen market integrity? Join a team where your expertise will make a difference every day. At FINRA, you'll work alongside dedicated professionals committed to maintaining fair and transparent markets for all Americans. FINRA is an Equal Opportunity Employer All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law. FINRA strives to make our career site accessible to all users. If you need a disability‑related accommodation for completing the application process, please contact FINRA’s Employee Relations team at View phone number on click.appcast.io or by email at View email address on click.appcast.io . Please note that this process is exclusively for inquiries regarding accommodations in the application process. FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities. FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans. #J-18808-Ljbffr