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Associate Principal Analyst, Risk Monitoring - Any Finra Location

At FINRA, we play a critical role in protecting investors and maintaining market integrity.

It’s in our DNA.

We use deep expertise, leading technology, and extensive market intelligence to serve as the first line of oversight for the brokerage industry.

Join our mission and grow your career here.

The Associate Principal Analyst, Risk Monitoring is responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.

Essential Job Functions:


* This is a mid-level position with staff developing in role and reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks.


* Conducts risk monitoring for member firms that can include complex or elevated risk firms with guidance and moderate 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 entry-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 one or more of the inherent industry risks (e.g.

Fraud and Deception, Money Laundering, and Market).

Knowledge Requirements:


* Intermediate knowledge of FINRA's risk fundamentals.


* Intermediate knowledge of securities rules and regulations.


* Intermediate knowledge of firm business models, business lines, customer bases, products and services.


* Basic 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.


* Developing ability to administer increasingly 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...




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