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 will 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 will 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. 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 a related field (or equivalent combination of education and experience). Proven analytical experience in the financial services industry with a demonstrated ability to interpret and apply regulatory developments to complex business models. Direct experience addressing 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, regulations, firm business models, and U.S. GAAP accounting standards. Intermediate to advanced proficiency in Microsoft Excel and Word; strong written and verbal communication skills with the 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 the 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. Preferred Qualifications Graduate degree (MBA or JD). Relevant industry certifications (e.g., CFA, CAMS, Series licenses). Benefits Employees may be eligible for a discretionary bonus, overtime pay in accordance with federal, state, or local law, and comprehensive health, dental, vision, and life insurance. Additional benefits include short‑ and long‑term disability, 401(k) plan with company match, tuition reimbursement, commuter benefits, wellness programs, paid time off, holidays, volunteer service days, and various leave policies. 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, gender, or any other status or classification protected by state or local law. #J-18808-Ljbffr