Principal Analyst, Risk Monitoring

Min 2 yrs required

Full-time

No

Principal Analyst, Risk Monitoring
The candidate will conduct risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Report to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. Conduct risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. Collaborate 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. Perform as part of a team conducting monitoring (including coordination with specialists) to execute against risks of assigned firms.

Not specified

Comprehensive health, dental, and vision insurance, life insurance, disability insurance, retirement benefits, paid time off, volunteer service days, military leave, jury duty leave, bereavement leave, voting and election official leave, family care leave, and parental leave.

Not specified

Analytical Skills, Financial Analysis, Research, Communication, Leadership, Mentoring, Collaboration, Microsoft Excel, Microsoft Word, Problem Solving

Bachelor's Degree in Finance, Accounting, Business or related field, advanced degree or relevant industry certifications preferred

Job Requisition ID: R-007668

Qualification and Experience The candidate should have a Bachelor's degree in Finance, Accounting, Business or related field. A graduate degree (MBA or JD) and/or relevant industry certification is preferred. Should have demonstrated experience relating to all inherent industry risks (i.e., operational, sales practice, fraud and deception, money laundering, accuracy of regulatory capital, credit, market, liquidity, and/or segregation of client assets). Advanced knowledge of the organization's risk fundamentals is needed. Should have intermediate-to-advanced knowledge of securities rules and regulations as well as of firm business models, business lines, customer bases, products and services. Intermediate knowledge of U.S. GAAP accounting standards is required. 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 is a must. Should have intermediate-to-advanced level proficiency in MS Excel and Word.

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