Principal Analyst, Risk Monitoring - Retail

Min 2 yrs required

Full-time

No

Principal Analyst, Risk Monitoring - Retail
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, 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, basic life and accidental death and dismemberment insurance, supplemental life insurance, short- and long-term disability insurance, long-term care insurance, business travel accident insurance, legal insurance, 401(k) plan with company match, additional FINRA-funded retirement contribution, tuition reimbursement, 15 days of paid time off, 5 personal days, 9 sick days, 2 volunteer service days, military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, childbirth and parental leave, and 9 paid holidays.

Not specified

Analytical Skills, Financial Industry Knowledge, Regulatory Knowledge, Communication Skills, Leadership Skills, Mentoring and Coaching Skills, Collaboration Skills, Technology Skills, Problem Solving Skills, Microsoft Excel and Word Proficiency, Quantitative Analysis Skills, Research Skills, Teamwork Skills

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

Job Requisition ID: R-007696

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 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. Intermediate-to-advanced level proficiency in MS Excel and Word is essential. Should have advanced knowledge of the organization's risk fundamentals. Must 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 US GAAP accounting standards is a prerequisite.

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