Principal Analyst, Risk Monitoring, Trading and Execution - Any FINRA Location

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 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.


* Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee.


* Collaborates 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.

Education/Experience 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 all inherent industry risks (i.e., Operational, Sales Practice, Fraud and Deception, Money Laundering, Accuracy of Regulatory Capital, Credit, Market, Liquidity, Segregation of Client Assets, Market Integrity, and/or Cyber Security).

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 U.S.

GAAP accounting standards.

Skill Requirements:


* Ability to engage and work effectively with senior business management, across departments, and with staff in multiple locations, including partnering and collaborating with various internal departments for the identification and trending of industry and business model risks for summation and reporting to senior management.


* 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.


* Be proactive & solutions-oriented; innovative; collaborative and energized by the open exchange of ideas.


* Intermediate-to-Advanced level proficien...