FINRA abides by the requirements of 41 CFR ), ) and ). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and prohibit discrimination against all individuals based on their race, color, religion, sex, or national origin. Moreover, these regulations require that covered prime contractors and subcontractors take affirmative action to employ and advance in employment individuals without regard to race, color, religion, sex, national origin, protected veteran status or disability.
H1 and H2 Friendly Headings:
H1: Principal Analyst, Risk Monitoring - Capital Markets - All FINRA Locations
H2: Job Description and Requirements
Bullet Points:
- Senior-level position reporting to a Risk Monitoring Director
- Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members
- Collaborates with internal departments to analyze and communicate regulatory intelligence
- Mentors and coaches more junior level risk monitoring staff
- Serves in leadership roles for special projects and technology initiatives
- Ability to perform as part of a team conducting monitoring for assigned firms
- Bachelor's Degree in Finance, Accounting, Business or related field, or equivalent combination of education and relevant experience required
- Demonstrated analytical skills and experience in financial industry and regulatory developments
- Knowledge of inherent industry risks such as fraud, money laundering, and market risks
- Advanced knowledge of FINRA's risk fundamentals and securities rules and regulations
- Intermediate knowledge of firm business models, business lines, customer bases, products and services, and . GAAP accounting standards
- Ability to engage and work effectively with senior business management and across departments
- Intermediate written and verbal communication, financial analysis, and research skills
- Self-starter with ability to handle complex assignments autonomously
- Intermediate-to-Advanced ability to analyze internal and external data and assess risks of member firms
- Proficiency in Microsoft Excel and Microsoft Word
- Intermediate-to-Advanced quantitative, analytical, and problem solving skills
- Competitive salary ranges based on location and other factors
SEO Friendly Job Title:
Principal Analyst, Risk Monitoring - Capital Markets - FINRA
Bold Headlines:
- Senior-level position reporting to a Risk Monitoring Director
- Conducts risk monitoring activities and collaborates with internal departments
- Mentors and coaches junior staff and serves in leadership roles for special projects
- Bachelor's Degree in related field and relevant experience required
- Advanced knowledge of FINRA's risk fundamentals and securities rules and regulations
- Competitive salary ranges based on location and other factors
