Principal Analyst, Risk Monitoring

What Youll Do

• 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 FINRAs 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

Required Qualifications

Education & Experience:

• Bachelors 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)

Knowledge:

• Advanced understanding of FINRAs 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

Skills:

• 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

Preferred Qualifications

• Graduate degree (MBA or JD)

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

What Makes You a Great Fit

Youre a strategic thinker who sees the big picture while mastering the details. Youve built deep expertise in risk assessment and can confidently operate with minimal oversight making sound judgments about complex regulatory matters. You thrive on intellectual challenge and are energized by the opportunity to mentor others while continuing to grow your own expertise. You communicate with clarity and confidence at all organizational levelsfrom coaching junior staff to presenting to senior executives. Youre innovative and solutions-oriented always looking for better ways to identify and address emerging risks. Most importantly youre driven by purpose: protecting investors and maintaining market integrity isnt just your jobits your calling.

Work Environment

Enjoy the flexibility of a hybrid work model with defined in-person collaboration requirements enabling you to balance focused analytical work with strategic team engagement and stakeholder interaction.

Ready to take your risk monitoring expertise to the next level Join FINRA as a Senior Risk Monitoring Analyst and play a pivotal role in shaping regulatory strategy and protecting Americas investors.

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 $122207 Maximum Salary $183311

San Francisco CA: Minimum Salary $127520 Maximum Salary $191280

CO/FL/TX: Minimum Salary $97700 Maximum Salary $176100

IL/PA: Minimum Salary $107500 Maximum Salary $194100

MA/MD/VA/Washington DC: Minimum Salary $112300 Maximum Salary $202500

NY/NJ: Minimum Salary $112300 Maximum Salary $211400

#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.

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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.

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