Associate Principal Analyst, Risk Monitoring

Min 2 yrs required

Full-time

No

Associate 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 support both that direct manager in identifying existing and emerging risks. Conduct risk monitoring for member firms that can include complex or elevated risk firms with guidance and moderate 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 entry-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.

Job Requisition ID: R-007680

Qualification and Experience The candidate should have a Bachelor's degree in Finance, Accounting, Business or a related field. A graduate degree (MBA or JD) and/or relevant industry certification 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 one or more of the 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) is required. Advanced knowledge of the organization's risk fundamentals is needed. Should have intermediate knowledge of securities rules and regulations as well as firm business models, business lines, customer bases, products and services. Basic knowledge of U.S. GAAP accounting standards is a must. Should have ability to administer increasingly complex assignments concurrently, including unstructured assignments that require autonomy and independent judgment. Must have 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. Intermediate level proficiency in MS Excel and Word is a must.

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