Principal Analyst, Risk Monitoring

Full-time

No

The Organization (FINRA)

FINRA is a not-for-profit organization dedicated to investor protection and market integrity. It regulates one critical part of the securities industry – brokerage firms doing business with the public in the United States. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees. For more information, visit .




Title: Principal Analyst, Risk Monitoring - Any FINRA Location

Job Type: Full Time

Location: Boca Raton, Florida

Job Requisition ID: R-007678

Salary Range: $92,500 - $200,200 (depending on location and qualifications)

Organization: FINRA (Financial Industry Regulatory Authority)

Posted: Today

H1: FINRA Job Opportunity: Principal Analyst, Risk Monitoring
H2: Location: Boca Raton, Florida - Full Time Position

- Responsible for conducting risk monitoring activities and ongoing risk assessments for FINRA members
- Senior-level position reporting to a Risk Monitoring Director
- Conducts risk monitoring activities for complex or elevated risk firms
- Collaborates with internal departments to analyze and make recommendations on regulatory intelligence
- Mentors and coaches junior level risk monitoring staff
- Serves in leadership roles for special projects and technology initiatives
- Ability to work as part of a team to execute risk monitoring for assigned firms
- Bachelor's degree in Finance, Accounting, Business or related field preferred
- Demonstrated analytical skills and experience in financial industry
- Knowledge of all inherent industry risks, including Operational, Sales Practice, Fraud and Deception, Money Laundering, etc.
- Advanced knowledge of FINRA's risk fundamentals and securities rules and regulations
- Intermediate knowledge of firm business models, products, and services
- Proven ability to engage and work effectively with senior business management and staff in multiple locations
- Strong written and verbal communication skills
- Self-starter with ability to handle complex assignments independently
- Proficiency in Microsoft Excel and Word
- Strong quantitative, analytical, and problem-solving skills
- Competitive salary range based on location and qualifications, with factors such as skill set, experience, and education taken into consideration
- Applications accepted on an ongoing basis
- FINRA is a not-for-profit organization dedicated to investor protection and market integrity
- Regulates brokerage firms in the US, overseen by the SEC
- Provides education, training, and surveillance services for equities and options markets
- Administers a dispute resolution forum for investors and brokerage firms
- For more information, visit .

Not specified

Comprehensive health and welfare benefits, incentive compensation, 401(k) plan with company match, additional FINRA-funded retirement contribution, tuition reimbursement program

Not specified

Risk Assessment, Analytical Skills, Financial Analysis, Communication, Research, Microsoft Excel, Microsoft Word, Quantitative Analysis, Problem Solving

Bachelor's Degree in Finance, Accounting, Business or related field(s), graduate degree (MBA or JD) and/or relevant industry certification(s) preferred

Submit an application on the FINRA Careers site

Qualification and Experience Bachelor's Degree in Finance, Accounting, Business or related field(s), graduate degree (MBA or JD) and/or relevant industry certification(s) preferred

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