Principal Analyst, Risk Monitoring - All FINRA Locations
Location: Multiple locations including New York, NY; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Boston, MA; Boca Raton, FL; Woodbridge, NJ; Washington, DC; Chicago, IL; San Francisco, CA; Rockville, MD; Philadelphia, PA; and Los Angeles, CA
Salary Range: Varies by location, with a minimum salary of $111,400 and a maximum salary of $242,600
Job Requisition ID: R-009196
Full-time position, posted today
Organization: FINRA
Reporting to a Risk Monitoring Director, the Principal Analyst, Risk Monitoring is responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members, with a focus on lead role for the organization's highest impact, highest risk, and/or complex firms.
Key Responsibilities:
- Conduct risk monitoring activities for FINRA's highest impact, highest risk, and/or complex firms with minimal supervision.
- Collaborate with internal departments to analyze and communicate regulatory intelligence unique to these firms.
- Mentor and coach more junior level risk monitoring staff, sharing expertise based on technical proficiency.
- Lead special projects related to market and industry events, such as Brexit, emerging product risks, trading volatility, and rule development.
- Identify important issues and potential special initiatives at a national and firm group level.
- Serve as a proxy for Risk Monitoring Directors in meetings on firms or examinations.
- Convey risk in communications with external regulators that are stakeholders unique to FINRA's largest impact, highest risk, and/or complex firms.
Education/Experience Requirements:
- Bachelor's Degree in Finance, Accounting, Business or related field(s), or equivalent combination of education and relevant experience required.
- Prior experience in FINRA's Exam and/or Risk Monitoring program preferred.
- Demonstrated advanced analytical skills and experience in the financial industry.
- Knowledge of one or more inherent industry risks (. Fraud and Deception, Money Laundering, and Market).
Knowledge Requirements:
- Expert knowledge of FINRA's risk fundamentals.
- Advanced-to-Expert knowledge of securities rules and regulations.
- Advanced knowledge of firm business models, business lines, customer bases, products and services.
- Intermediate-to-Advanced knowledge of . GAAP accounting standards.
Skill Requirements:
- Proactively engage and work effectively with senior business management, across departments, and with staff in multiple locations.
- Advanced written and verbal communication, financial analysis, and research skills.
- Self-starter and able to handle complex assignments, including unstructured tasks that require autonomy and independent judgment.
- Advanced-to-Expert ability to analyze internal and external data to assess inherent risks of member firms and develop regulatory responses.
- Proactive, solutions-oriented, innovative, collaborative, and energized by the open exchange of ideas.
- Intermediate-to-Advanced proficiency in Microsoft Excel and Microsoft Word.
- Advanced-to-Expert quantitative, analytical, and problem solving skills.
Salary Information:
- Salary varies by location, with a minimum of $111,400 and a maximum of $242,600.
- Actual compensation is based on factors such as skill set, level of experience, education, and internal peer compensation comparisons.
- FINRA provides full pay ranges for candidates to consider their growth potential while at the organization.
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.
Important Information:
- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures related to their role as a securities regulator.
- Employees are required to disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements to **Members Only**
- Employees must comply with the Code's investment restrictions, including disposing of any security issued by a company on FINRA's Prohibited Company List.
- Employees may only maintain securities accounts at firms that provide an electronic feed of data to **Members Only**
- Employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.
Time Off and Paid Leave:
- 15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in the first year).
- 2 volunteer service days (based on full-time schedule).
- Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave.
- Full-time employees receive 9 paid holidays.
Search Firm Representatives:
- FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity.
- A valid written agreement and task order must be in place before any resumes are submitted to **Members Only**
- Resumes submitted without a valid written agreement and task order will be deemed the sole property of **Members Only**
FINRA is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status, or any other classification protected by federal, state, or local laws. FINRA abides by the requirements of 41 CFR ) and 41 CFR ).
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