Principal Analyst, Risk Monitoring

About the position Elevate your regulatory career as a Senior Risk Monitoring Analyst, where you'll serve as a strategic advisor in identifying and mitigating risks that threaten investor protection and market integrity. This senior-level position puts you at the forefront of sophisticated risk analysis, working with minimal supervision to assess complex and elevated-risk member firms. You'll mentor emerging talent, lead high-impact projects, collaborate with senior leadership across FINRA, and shape regulatory responses to evolving market threats. If you're a seasoned risk professional ready to leverage your expertise at the highest levels of securities regulation, this is your opportunity to make a lasting impact.

Responsibilities

• Lead Complex Risk Assessments: Independently conduct sophisticated risk monitoring of member firms, including those with complex business models or elevated risk profiles, with minimal supervision
• Drive Strategic Intelligence: Analyze regulatory trends and emerging risks, collaborating across departments to develop actionable recommendations that inform FINRA's supervisory strategy
• Advise Senior Leadership: Engage directly with senior business management and executive stakeholders, presenting risk findings and regulatory intelligence that shape organizational priorities
• Mentor the Next Generation: Coach and develop junior risk monitoring staff, sharing your expertise and elevating the capabilities of the entire team
• Lead Strategic Initiatives: Take ownership of special projects and technology initiatives, driving innovation in risk monitoring methodologies and tools
• Execute Team-Based Strategies: Coordinate with specialists and cross-functional teams to develop and implement comprehensive risk-based monitoring approaches for your assigned firm portfolio
• Synthesize Complex Data: Analyze vast amounts of internal and external data to identify risk patterns, develop insights, and craft regulatory responses that address higher-risk areas
• Influence Regulatory Direction: Partner with internal departments to identify and trend industry and business model risks, delivering summaries and strategic recommendations to senior management

Requirements

• Bachelor's degree in Finance, Accounting, Business, or related field (or equivalent combination of education and experience)
• Extensive demonstrated analytical experience in the financial industry, including interpreting regulatory developments and applying them to complex business models
• Proven experience addressing one or more key industry risks (Fraud and Deception, Money Laundering, Market Risk)
• Advanced understanding 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
• Strong ability to engage effectively with senior business management and collaborate across departments and locations
• Intermediate written and verbal communication abilities with proven financial analysis and research skills
• Self-starter capable of managing multiple complex, concurrent assignments requiring autonomy and independent judgment
• Intermediate-to-advanced proficiency in analyzing internal and external data to assess firm risks and develop targeted regulatory responses
• Intermediate-to-advanced proficiency in Microsoft Excel and Microsoft Word
• Strong quantitative, analytical, and problem-solving capabilities with ability to synthesize large volumes of complex information
• Proactive, solutions-oriented mindset with innovative thinking and enthusiasm for collaborative idea exchange

Nice-to-haves

• Graduate degree (MBA or JD)
• Relevant industry certifications (e.g., CFA, CFE, CAMS, Series licenses)

Benefits

• Employees may be eligible for a discretionary bonus in addition to base pay.
• Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law.
• As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance.
• Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.
• FINRA offers 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.
• Time Off and Paid Leave FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year).
• Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule).
• Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment).
• Full-time employees receive nine paid holidays.

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