FINRA

Principal Analyst, Risk Monitoring – Capital Markets

FINRA

full-time

Posted on:

Origin:  • 🇺🇸 United States • California, Colorado, Illinois

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Salary

💰 $95,300 - $206,200 per year

Job Level

Lead

About the role

  • Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director
  • Senior-level position reporting to a Risk Monitoring Director and supports that manager in identifying existing and emerging risks
  • Conducts risk monitoring activities, including complex or elevated risk firms, with guidance and minimal supervision
  • 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
  • Perform as part of a team conducting monitoring (including coordination with specialists) to execute against risks of assigned firms
  • Interact with internal and external parties as part of monitoring and assessments

Requirements

  • Bachelor's Degree in Finance, Accounting, Business or related field(s), or equivalent combination of education and relevant experience required
  • Graduate degree (MBA or JD) and/or relevant industry certification(s) preferred
  • Demonstrated analytical skills and experience, including financial industry, absorbing/processing regulatory developments and applying them to complex business models
  • Demonstrated experience relating to one or more of the inherent industry risks (e.g. Fraud and Deception, Money Laundering, and Market)
  • Advanced knowledge 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
  • Intermediate written and verbal communication, financial analysis, and research skills
  • Self-starter with ability to administer complex assignments concurrently, including unstructured assignments that require autonomy and independent judgment
  • Intermediate-to-Advanced ability to analyze internal and external data to assess inherent risks of member firms and develop regulatory responses
  • Intermediate-to-Advanced level proficiency in Microsoft Excel and Microsoft Word
  • Intermediate-to-Advanced quantitative, analytical, problem solving skills, including the ability to accumulate, organize, and assimilate large amounts of information
  • Ability to engage and work effectively with senior business management, across departments, and with staff in multiple locations
  • Mentoring and coaching experience for more junior staff