Attorney in Jericho, NY

Public Interest

Jericho, NY

Attorney in Jericho, NY

Non-practicing Attorney

No

Principal Analyst, Risk Monitoring - All FINRA Locations

Principal Analyst, Risk Monitoring - All FINRA Locations

The 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 the Risk Monitoring Director and Vice President in identifying existing and emerging risks. The Principal Analyst will also collaborate with internal departments on a continuous basis to analyze, communicate and make recommendations with respect to regulatory intelligence unique to FINRA's highest impact, highest risk, and/or complex firms. This position requires a Bachelor's Degree in Finance, Accounting, Business or related field(s), or equivalent combination of education and relevant experience. A graduate degree (MBA or JD) and/or relevant industry certification(s) is preferred. Prior experience in FINRA's Exam and/or Risk Monitoring program is also preferred. The ideal candidate will have advanced analytical skills and experience in the financial industry, with the ability to absorb and process regulatory developments and apply them to complex business models. Additionally, the Principal Analyst should have a strong understanding of FINRA's risk fundamentals and advanced knowledge of securities rules and regulations.

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 FINRA's highest impact, highest risk, and/or complex firms.
- Mentor, coach, train, develop, and act as a resource to more junior level risk monitoring staff.
- Lead special projects, including responding to internal and external requests for intelligence within a Firm Grouping.
- Demonstrate innovation by raising important issues to Risk Monitoring Director that may lead to 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.

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.
- Prior experience in FINRA's Exam and/or Risk Monitoring program preferred.
- Advanced analytical skills and experience in the financial industry, absorbing/processing regulatory developments and applying them to complex business models.
- Strong understanding of FINRA's risk fundamentals and advanced knowledge of securities rules and regulations.

Compensation:

The salary range for this position varies by location. Please see the chart below for the salary range for corresponding locations. Actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

- California: Minimum Salary $128,000, Maximum Salary $242,600
- Colorado/Hawaii/Minnesota/Vermont: Minimum Salary $111,400, Maximum Salary $202,100
- Illinois: Minimum Salary $122,800, Maximum Salary $222,400
- Jersey City, NJ/New York City, NY: Minimum Salary $133,700, Maximum Salary $242,600
- Massachusetts/Washington: Minimum Salary $111,400, Maximum Salary $232,500
- Maryland/Washington, DC: Minimum Salary $128,000, Maximum Salary $232,500
- New Jersey State: Minimum Salary $122,800, Maximum $242,600
- New York State: Minimum Salary $111,400, Maximum Salary $242,600

Benefits:

- Comprehensive health, dental, and vision insurance.
- Basic life, accidental death and dismemberment, supplemental life, and spouse/domestic partner and dependent life insurance.
- Short- and long-term disability, long-term care, business travel accident, disability and legal insurance.
- Immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution.
- Tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
- 15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in the first year).
- Two volunteer service days (based on full-time schedule).
- Nine paid holidays (based on full-time schedule).
- Military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave (available after 90 days of employment).

Important Information:

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with **Members Only** Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment. Employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism.

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