Attorney in New York City, NY

Public Interest

New York City, NY

Attorney in New York City, NY

Non-practicing Attorney

No

Principal Analyst, Risk Monitoring - Capital Markets - All FINRA Locations

As a Principal Analyst, Risk Monitoring for FINRA, you will have the opportunity to work in one of the top regulatory organizations in the financial industry. You will be responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. This is a senior-level position that supports both the direct manager and internal and external parties in identifying existing and emerging risks. The position involves working with complex or elevated risk firms and collaborating with various departments to analyze and communicate regulatory intelligence. You will also have the opportunity to mentor and coach more junior level risk monitoring staff and serve in leadership roles related to special projects and technology initiatives.

Job Title: Principal Analyst, Risk Monitoring
Organization: FINRA
Department: Risk Monitoring
Experience Level: Senior-level
Job Type: Full-time

Job Responsibilities:

- Conduct risk monitoring activities for FINRA members with guidance and minimal supervision from a Risk Monitoring Director or designee
- Collaborate with internal departments to analyze and communicate regulatory intelligence
- Mentor and coach more junior level risk monitoring staff
- Serve in leadership roles related to special projects and technology initiatives
- Work as part of a team to execute against risks of assigned firms, including coordination with specialists

Education/Experience Requirements:

- Bachelor's Degree in Finance, Accounting, Business or related field(s), or equivalent combination of education and relevant experience
- 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)

Knowledge Requirements:

- 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

Skill Requirements:

- 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
- Intermediate-to-Advanced 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 level proficiency in Microsoft Excel and Microsoft Word
- Intermediate-to-Advanced quantitative, analytical, problem solving skills

Salary Information:

- Salary ranges vary depending on location and factors such as skill set, level of experience, education, and internal peer compensation comparisons
- Candidates can expect salary offers that range from the minimum to the mid-point of the salary range
- Full salary ranges are provided to allow for consideration of growth potential while at FINRA

SEO Friendly Job Title: Principal Analyst, Risk Monitoring - Capital Markets - FINRA Locations

H1: Join FINRA as a Principal Analyst, Risk Monitoring

H2: Job Responsibilities and Requirements

Salary Information:

- Full-time position with competitive salary based on location and factors such as skill set, level of experience, education, and internal peer compensation comparisons
- Salary ranges provided for each location, including potential for discretionary bonus and overtime pay
- Comprehensive benefits package offered, including health, dental, and vision insurance, retirement plans, and time off and paid leave options

Apply now to join FINRA as a Principal Analyst, Risk Monitoring and work with a top regulatory organization in the financial industry. In this senior-level position, you will have the opportunity to conduct risk monitoring activities and lead special projects and technology initiatives. Mentor and coach junior staff while collaborating with internal departments to analyze and communicate regulatory intelligence.

H2: Job Responsibilities

As a Principal Analyst, Risk Monitoring at FINRA, you will:

- Conduct risk monitoring activities for FINRA members with guidance and minimal supervision from a Risk Monitoring Director or designee
- Collaborate with internal departments to analyze and communicate regulatory intelligence
- Mentor and coach more junior level risk monitoring staff
- Serve in leadership roles related to special projects and technology initiatives
- Work as part of a team to execute against risks of assigned firms, including coordination with specialists

H2: Education/Experience Requirements

To be considered for this position, you should have:

- Bachelor's Degree in Finance, Accounting, Business or related field(s), or equivalent combination of education and relevant experience
- 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)

H2: Knowledge Requirements

You should have advanced knowledge of FINRA's risk fundamentals and intermediate to advanced knowledge of securities rules and regulations. Additionally, you should have intermediate to advanced knowledge of firm business models, business lines, customer bases, products and services, and intermediate knowledge of . GAAP accounting standards.

H2: Skill Requirements

To excel in this role, you should have the following skills:

- 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
- Intermediate-to-Advanced 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 level proficiency in Microsoft Excel and Microsoft Word
- Intermediate-to