Attorney in Dallas, TX

Public Interest

Dallas, TX

Attorney in Dallas, TX

Non-practicing Attorney

Min 4 yrs required

No

About FINRA

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FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers.

FINRA touches virtually every aspect of the securities business—from registering and educating all industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage.

In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and ensuring investor protection against fraud and bad practices. Whether it’s through our financial literacy programs that help consumers make informed financial decisions or through our enforcement actions against bad actors in the market, FINRA is working every day to help investors achieve their financial goals and dreams.

# H1: Associate Principal Analyst, Risk Monitoring - All FINRA Locations
# H2: Essential Job Functions:

Summary:

- The Associate Principal Analyst, Risk Monitoring is responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members.
- This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties.
- The role involves conducting risk monitoring activities, collaborating with internal departments, mentoring and coaching junior staff, and serving in leadership roles for special projects and technology initiatives.
- The candidate should have a Bachelor's Degree in Finance, Accounting, Business or related field(s), or equivalent combination of education and relevant experience.
- Relevant industry certifications and a graduate degree (MBA or JD) are preferred.
- The candidate should have demonstrated analytical skills and experience, including financial industry, absorbing/processing regulatory developments and applying them to complex business models.

Responsibilities:

- 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.
- Ability to perform as part of a team conducting monitoring (including coordination with specialists) to execute against risks of assigned firms.

Requirements:

- Bachelor's Degree in Finance, Accounting, Business or related field(s), or equivalent combination of education and relevant experience required.
- Graduate degree (MBA or JD) and/or relevant industry certification(s) preferred.
- 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 (. Fraud and Deception, Money Laundering, and Market).
- Advanced knowledge of FINRA's risk fundamentals.
- Intermediate-to-Advanced knowledge of securities rules and regulations.
- Intermediate-to-Advanced knowledge of firm business models, business lines, customer bases, products and services.
- Intermediate knowledge of . GAAP accounting standards.
- Ability to engage and work effectively with senior business management, across departments, and with staff in multiple locations.
- Intermediate written and verbal communication, financial analysis, and research skills.
- Self-starter with ability to administer complex assignments concurrently, including unstructured assignments that require autonomy and independent judgment.
- 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.
- Proactive, solutions-oriented, innovative, collaborative and energized by the open exchange of ideas.
- Intermediate-to-Advanced level proficiency in Microsoft Excel and Microsoft Word.
- Intermediate-to-Advanced quantitative, analytical, problem solving skills, including the