Principal Analyst, Risk Monitoring

Min 2 yrs required

Full-time

No

Principal Analyst, Risk Monitoring
The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. 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. Mentors and coaches more junior level risk monitoring staff. Serves in leadership roles related to special projects and technology initiatives. Should have a Bachelor's degree in Finance, Accounting, Business or related field(s). A graduate degree (MBA or JD) and/or relevant industry certification(s) would be preferred. Must have demonstrated analytical skills and experience, including financial industry, absorbing/processing regulatory developments and applying them to complex business models. Demonstrated experience relating to all inherent industry risks (., operational, sales practice, fraud and deception, money laundering, accuracy of regulatory capital, credit, market, liquidity, and/or segregation of client assets) is needed. Should have intermediate-to-advanced knowledge of the organization's nine risk fundamentals; securities rules and regulations; and firm business models, business lines, customer bases, products and services. Intermediate knowledge of . GAAP accounting standards is required. Must have the 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-to-advanced level proficiency in MS Excel and Word.

Job Requisition ID: R-007677

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