Job Details

Principal Analyst, Risk Monitoring - Private Placements

Company name

FINRA. 

Organization Type

Public Interest

Job Type

Non-practicing Attorney

Date Last Verified

Aug 26, 2021

Valid Through

Dec 09, 2021

Posted on

Jul 16, 2021

Years of Experience

Min 2 yrs required

Location

Atlanta, GA, United States

Employment Type

Full-time

Industry

Legal
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Principal Analyst, Risk Monitoring - Private Placements
The candidate will conduct risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Will report to a Risk Monitoring Director and support 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, including firms that primarily sell private placement offerings to retail investors.

Qualification and Experience

The candidate should have a Bachelor's degree in Finance, Accounting, Business or related field(s). A graduate degree (MBA or J.D.) and/or relevant industry certification(s) would be preferred. Must 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). Should have demonstrated analytical skills and experience, including financial industry, absorbing/processing regulatory developments and applying them to complex business models. Regulatory or financial industry experience relating to retail sales of private placement offerings is preferred. 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 U.S. GAAP accounting standards is required.

Additional info

Req. #: R-003003

Company info

Hiring Coordinator
FINRA.
3490 Piedmont Road, NE
Suite 500
Atlanta, GA 30305

   

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