Associate Principal Analyst, Risk Monitoring All Finra Locations

What Youll Do

• Monitor Complex Firms: Conduct comprehensive risk monitoring of member firms including those with elevated risk profiles ensuring thorough oversight and regulatory compliance
• Drive Strategic Intelligence: Collaborate across departments to analyze regulatory trends communicate critical findings and develop actionable recommendations that shape our supervisory approach
• Lead and Mentor: Guide entry-level staff through coaching and mentorship while taking on leadership roles in special projects and technology initiatives
• Execute Team-Based Monitoring: Work collaboratively with specialists and cross-functional teams to develop and implement risk-based monitoring strategies for your assigned portfolio
• Innovate and Problem-Solve: Tackle unstructured complex assignments that require independent judgment creativity and a solutions-oriented mindset
• Embody FINRA Values: Demonstrate our commitment to collaboration integrity and excellence in both virtual and in-person settings

Required Qualifications

Education & Experience:

• Bachelors degree in Finance Accounting Business or related field (or equivalent combination of education and experience)

• Proven analytical experience in the financial industry including the ability to interpret regulatory developments and apply them to complex business models

• Demonstrated experience with at least one key industry risk area (e.g. Fraud and Deception Money Laundering Market Risk)

Knowledge:

• Intermediate understanding of FINRAs 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

Skills:

• Strong written and verbal communication abilities

• Intermediate financial analysis and research capabilities

• Intermediate-to-advanced proficiency in analyzing internal and external data to assess firm risks and develop regulatory responses

• Ability to manage multiple complex concurrent assignments with autonomy

• Intermediate proficiency in Microsoft Excel and Microsoft Word

• Strong quantitative analytical and problem-solving skills with the ability to synthesize large volumes of information

• Proven ability to engage effectively with senior management and collaborate across departments and locations

Preferred Qualifications

• Graduate degree (MBA or JD)

• Relevant industry certifications (e.g. CFA CFE CAMS Series licenses)

What Makes You a Great Fit

Youre proactive innovative and energized by collaborative environments where ideas flow freely. You thrive when presented with complex challenges that require both analytical rigor and creative problem-solving. Youre passionate about financial regulation and investor protection and youre excited to contribute to a mission that makes a real difference in peoples financial lives.

Ready to protect investors and strengthen market integrity Join us in this rewarding career opportunity where your expertise will help shape the future of financial regulation.

Work Environment

Enjoy the flexibility of a hybrid work model with defined in-person collaboration requirements allowing you to balance focused independent work with meaningful team engagement.

For work that is performed in Los Angeles and San Francisco CA CO FL TX IL PA MA MD VA Washington DC NY and NJ please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the addition to location actual compensation is based on various factors including but not limited to the candidates skill set level of experience education and market considerations.

Los Angeles CA: Minimum Salary $96600 Maximum Salary $127814

San Francisco CA: Minimum Salary $100800 Maximum Salary $133372

CO/FL/TX: Minimum Salary $83900 Maximum Salary $150300

IL/PA: Minimum Salary $92400 Maximum Salary $165300

MA/MD/VA/Washington DC: Minimum Salary $96600 Maximum Salary $172800
NY/NJ: Minimum Salary $96600 Maximum Salary $180400

#LI-Hybrid

To be considered for this position please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties responsibilities and qualifications required.

Please note: If the Apply Now button on a job board posting does not take you directly to the FINRA Careers site enter into your browser to reach our site directly.

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.

*Based on full-time schedule

Important Information

FINRAs 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 to FINRA 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 Codes investment and securities account restrictions and new employees must comply with those investment restrictionsincluding disposing of any security issued by a company on FINRAs Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby the date they begin employment with FINRA. 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.

You can read more about these restrictions here.

As standard practice employees must also execute FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity Employer

All qualified applicants receive consideration for employment without regard to any legally protected category including race color age national origin ethnicity religion disability genetic information military or veteran status sex or any other status or classification protected by state or local law.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process please contact FINRAs Employee Relations team at or by email at . Please note that this process is exclusively for inquiries regarding accommodations in the application process.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

2026 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority Inc.