Associate Principal Analyst, Strategic Intelligence & Analytics, Member Supervision - ALL FINRA Loca

The Associate Principal Analyst, in the Member Supervision Strategic Intelligence & Analytics team is responsible for analyzing member firm data collected during examinations and investigations; and creating analytics that identify potential risks and weaknesses in the associated controls and compliance with member firms.

The role works cross-functionally across FINRA’s Risk Monitoring, Firm Examination, National Cause and Financial Crimes, Enforcement, and Technology departments.

The role utilizes strong knowledge of member firms’ responsibilities and legal requirements related to accuracy of regulatory capital, sales, credit, fraud, liquidity, money laundering, operational and technology risks, sales, and segregation of client assets, in order to enable and empower Member Supervision to identify, respond to, and predict emerging risks and broader market themes, and make more informed and timely regulatory decisions.



* Conducts and memorializes analyses for matters of routine to moderate risk and complexity, with moderate supervision and guidance. Participates in analyses of matters with high risk and complexity.


* Participates in strategic exploration and adoption of innovative solutions, to amplify Member Supervision’s ability to protect investors and uphold market integrity that may include but are not limited to coordinating with other specialists, risk analysts and data scientists for the development of analytics and tools to support the creation of intelligence.


* Under general direction of leadership, conducts analyses related to inquiries received from Risk Monitoring, Firm Examinations, Cause Examinations, Market Regulation, and Enforcement staff with moderate supervision and guidance.


* Under general direction of leadership, conducts regulatory matters that may include but are not limited to: (1) identification and scoping of risk analysis conducted in collaboration with Member Supervision staff; (2) analysis conducted in relation to internal/external tips or investigations; and (3) analysis conducted related to referrals.

Education & Experience Requirements:


* Bachelor’s degree in Accounting, Finance, Economics, Business Administration, Cybersecurity, Computer Forensics, Data Analytics, or related fields; or an equivalent combination of education and relevant experience required.  Advanced degree/certification a plus.


* Moderate securities, compliance, or financial regulatory experience.

  

Knowledge Requirements:


* Intermediate knowledge of FINRA's risk fundamentals.


* Intermediate knowledge of securities rules and regulations.


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

  

Skill Requirements:


* Ability to analyze complex data and communicate findings and recommendations in a clear and concise manner.


* Ability to effectively articulate analyses through verbal and written communic...