Principal Analyst

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 Principal Risk Monitoring Analyst is responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members.

Essential Job Functions:

• This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties.
• Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal 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 more junior 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 coord...