Principal Analyst, Risk Monitoring
FINRA
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.Essential Job Functions:This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties.Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee.Collaborates with internal departments to analyze, communicate and make recommendations with respect to regulatory intelligence.Mentor and coach more junior level risk monitoring staff.Serve in leadership roles related to special projects and technology initiatives.Ability to perform as part of a team conducting monitoring (including coordination with specialists) to execute against risks of assigned firms.Demonstration of FINRA’s values.Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.Education/Experience Requirements:Bachelor's Degree in Finance, Accounting, Business or related field(s), or equivalent combination of education and relevant experience required. Graduate degree (MBA or JD) and/or relevant industry certification(s) preferred.Demonstrated analytical skills and experience, including financial industry, absorbing/processing regulatory developments and applying them to complex business models.Demonstrated experience relating to one or more of the inherent industry risks (e.g. Fraud and Deception, Money Laundering, and Market).FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.Knowledge Requirements: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.Skill Requirements:Ability to engage and work effectively with senior business management, across departments, and with staff in multiple locations, including partnering and collaborating with various internal departments for the identification and trending of industry and business model risks for summation and reporting to senior management.Intermediate written and verbal communication, financial analysis, and research skills.Self-starter with ability to administer complex assignments concurrently, including unstructured assignments that require autonomy and independent judgment.Intermediate-to-Advanced ability to analyze internal and external data to assess inherent risks of member firms and develop regulatory responses to address higher risk areas.Be proactive & solutions-oriented; innovative; collaborative and energized by the open exchange of ideas.Intermediate-to-Advanced level proficiency in Microsoft Excel and Microsoft Word.Intermediate-to-Advanced quantitative, analytical, problem solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.Work Conditions:Hybrid work environment, with defined in-person presence requirements.For work that is performed in Los Angeles and San Francisco, CA, CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations. Los Angeles, CA: $107,707 - $161,561San Francisco, CA: $113,093 - $169,639Boston, MA: $112,300 - $202,500Chicago, IL: $107,500 - $194,100Denver, CO: $97,700 - $176,100Jericho, NY: $112,300 - $202,500Jersey City, NJ: $117,200 - $211,400Philadelphia, PA: $107,500 - $194,100New York, NY: $117,200 - $211,400Rockville, MD: $112,300 - $202,500Tysons, VA: $112,300 - $202,500Washington, DC: $112,300 - $202,500Woodbridge, NJ: $112,300 - $202,500Connecticut State: $97,700- $211,400Washington State: $97,700- $211,400#LI-HybridTo be considered for this position, please submit an application. Applications are accepted on an ongoing basis.The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter into your browser to reach our site directly.Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes 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. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.Time Off and Paid Leave*FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program starting at 15 days of paid time off (increasing with years of service, up to 25 days), 5 personal days, and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.*Based on full-time scheduleImportant InformationFINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.You can read more about these restrictions here.As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.Washington state applicants: click here for required notice(s).Search Firm RepresentativesPlease be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.FINRA is an Equal Opportunity EmployerAll 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.2026 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.SummaryLocation: Chicago, IL (Job Posting); Jericho, NY (Job Posting); Denver, CO (Job Posting); Boston, MA (Job Posting); Boca Raton, FL (Job Posting); Plano, TX (Job Posting); Tysons, VA (Job Posting); Jersey City, NJ (Job Posting); Woodbridge, NJ (Job Posting); Washington, DC (Job Posting); Rockville, MD (Job Posting); Philadelphia, PA (Job Posting); New York, NY (Job Posting); Los Angeles, CA (Job Posting)Type: Full time
$70k
...network operates from 14 locations across the US, the UK, Australia, and Canada. The Role We are looking for an energetic Risk Monitoring Analyst to join Windcave’s Acquiring team in New York City, NY 10022. This is an exciting opportunity for someone who enjoys working...SuggestedWork at officeWork from home£55.62k - £61.8k per year
As a Risk & Monitoring Analyst IV on the Operational Risk and Controls (ORC) team within Global Financial Crimes Operations (GFCO), you'll own quality assurance reviews of TMS investigations that support Coinbase's AML/CFT program. You'll strengthen consistency in case...SuggestedWork at office- Windcave is seeking an energetic Risk Monitoring Analyst for its Acquiring team in New York City, NY. The role offers a hybrid work arrangement with two remote days, and involves monitoring real-time transactions and analyzing high-risk activity. The ideal candidate has...SuggestedRemote work
£50.45k - £53.1k per year
Ready to do the most impactful work of your career? At a and utm_source=coinbase Coinbase, we are uncompromising on our mission to increase economic freedom. The bar is high, the environment is intense, and we like it that way. This isn t a place for complacency, it’s a...SuggestedFull timeWork at officeLocal area- Coinbase, Inc. is seeking a Risk & Monitoring Analyst IV on the Operational Risk and Controls team within GFCO. You will own QA reviews of TMS investigations supporting the AML/CFT program and partner across Operations, Compliance, Analytics and Learning & Development....Suggested
$65.5k - $130.5k
...workplace where people thrive by being themselves and are inspired to do their best work every day. Join us! Make an Impact as a Risk and Central Monitoring Associate Manager at Worldwide Help drive quality and oversight across clinical trials by supporting risk management and...Hourly payWork at officeRemote workWorldwide- ...Job Title: Senior Business Analyst - Credit risk, Location: Nyc, Ny (ONSITE) Employment Type: Fulltime About Smart IT Frame: At... ...including origination underwriting rating limit management monitoring and reporting Work with risk models and data teams to support...Full time
- ...Position Overview We are seeking a Transaction Monitoring Analyst to support a growing financial institution’s BSA/AML transaction monitoring... ...to trace activity and identify potential financial crime risk. Develop familiarity with emerging typologies and red flags...Full time
$70 - $150 per hour
...About the job Validation Senior Analyst Model Risk -New York, NY -Hybrid Validation Senior Analyst Model Risk -New York, NY -Hybrid... ...data integrity and conceptual soundness and performance monitoring and implementation checks ~ Proficiency in Python or R and...Hourly payContract workRemote work$175k - $225k
...Desk Analyst – Risk Arbitrage - New York The team focuses primarily on US takeover situations alongside various event‑driven stories,... ...order to best service buy‑side clients. Responsibilities Monitoring and analyzing North American corporate actions, mergers and...Temporary workLocal area- ...Senior Compliance Officer will serve as a senior contributor within an independent compliance monitoring and testing function. The role is responsible for planning and executing risk-based reviews, documenting conclusions, communicating control weaknesses, and overseeing...Full timeShift work
$105k - $135k
...highly organized and proactive Deal Participations Closing and Monitoring Analyst, either at the associate- or VP-level, to join our dynamic... ...exceptional support, drive customer service excellence, manage risk effectively, and spearhead process improvements. If you are a...Work at office- ...lenders, legal advisors, and other stakeholders to negotiate and manage restructuring terms effectively. - **Portfolio Management:** Monitor and manage the performance of restructured assets within the portfolio, ensuring compliance with all regulatory and fund...Full timeFlexible hours
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...scattered across products and siloed in logical layers of their technical stack. We're building the system that fixes this: Journey Monitoring, a single centralized hub that brings together Real User Monitoring (RUM), Synthetics, and Product Analytics to bridge the gap...$120k - $145k
...of Artificial Intelligence across Compliance and Non-Financial Risk at BBVA . As AI Transformation Lead – Compliance & Non-Financial... ...and automation can strengthen the way we identify, assess, monitor and manage compliance and non-financial risks. Your mission...Full timeWork at office$130k
...expands nationwide, we are scaling our Credit Risk function from the ground up to support... ...We are looking for a Senior Credit Risk Analyst who lives and breathes data, portfolio... ...loan pricing models, and portfolio health monitoring. If you want to move away from rigid,...Work at officeFlexible hours$200k - $300k
...Role Polymarket is looking for a Sr Data Scientist / Analyst, Fraud & Risk to proactively prevent and detect potential fraud and abuse... ...relying on any one of them Turn one-off investigations into monitoring, including recurring reporting and alerting that surfaces...$204k - $255k
...the point of having independent, well-informed points of viewDrive end-to-end product experiences across Agent Observability, GPU Monitoring, and Agent Console, ensuring coherence across the three surfacesPrototype and ship directly in code where it has the most impact,...- ...Sponsor Dedicated CRA II/Sr CRA I/II to work from home supporting ITA studies. You will perform site qualification, initiation, and monitoring visits across multiple sites to ensure GCP compliance and data integrity. Responsibilities include reviewing source documents, IP...Remote job
$50 - $120 per hour
Validation Senior Analyst Model Risk - FinTrust Connect Talent Community FinTrust Connect United States Remote Join our Talent Community and... ...data integrity and conceptual soundness and performance monitoring and implementation checks Proficiency in Python or R and SQL...Remote jobHourly payContract work$126.82k - $149.2k
...businesses.This role requires close collaboration with trading desks, risk management, technology partners, model validation, internal... ...for Prime Brokerage and Equity Finance products.Perform model monitoring, benchmarking, backtesting, sensitivity analysis, and...Full timeLocal area3 days per week- Premier Research Group seeks a Clinical Research Associate II/Senior CRA - French Fluency to join our Clinical Monitoring, Site Management and SSU team in Quebec. You will monitor Phase I-IV trials, including device studies, with a focus on data integrity and patient safety...Remote job
$22.53 per hour
...are accurate as to count. Frequently patrols building to observe and listen to individual residents and groups of residents and monitors the state of the building. Examples of activities include smelling for marijuana, listening to conversations, or ensuring doors...Full timeContract workWork experience placementWorldwideFlexible hoursShift work$20 - $22 per hour
...to empowering communities and building the best places to work, and that goes for our own teams too.Position Summary:The WLG Site Monitor is responsible for ensuring the well-being and success of program participants at their assigned worksites. This role requires frequent...Summer workWork at officeMonday to FridayWeekend workAfternoon shift$40.04k
...Site Monitor page is loaded## Site Monitorlocations: Long Island City, New Yorktime type: Full timeposted on: Posted 2 Days Agojob requisition id: JR1668Thank you for considering a career with the Research Foundation of The City University of New York (RFCUNY).The team...For contractorsSummer workInternshipWork at officeLocal area- ...certification (or ACAS/ASA with 10+ years) Nice to have: Experience with A&H product development, pricing, filing, and experience monitoring Team leadership experience Strong communication and ability to explain technical results Experience with Microsoft Excel...
$100k - $151k
What You'll Be Doing The Operational Risk Management (ORM) Sr analyst will support the Operational Risk Director in executing the Operational... ...activities through objective risk identification, assessment, monitoring, and reporting of the firm’s risk profile. The purpose...Flexible hours$11.27 per hour
Tri County Transportation Inc. The Bus Aide will help students board the bus, depart from the bus, and arrive safely at their destination. Maintaining a safe environment for students and ensuring the Driver can focus on driving responsibilities are the most important...ApprenticeshipLocal area$110k - $130k
...Summary of Responsibilities : The Associate supports the Portfolio Monitoring & Solutions function by performing the day-to-day post-closing... ..., validating borrower reporting and identifying emerging risks across a broad range of structured financing solutions. Working...Full timeBank staffWork at office$200k - $225k
...of Responsibilities : The Vice President leads the Portfolio Monitoring & Solutions function within BBVA's Structured Trade &... ...ensuring compliance with transaction documentation and internal risk policies. Working in close partnership with Front Office,...Full timeWork at office
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