Associate Principal Analyst, Risk Monitoring
FINRA
full-time
Posted on:
Location Type: Hybrid
Location: New York City • California • Colorado • United States
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Salary
💰 $96,600 - $180,400 per year
About the role
- Conduct comprehensive risk monitoring of member firms
- Collaborate across departments to analyze regulatory trends and develop actionable recommendations
- Guide entry-level staff through coaching and mentorship
- Work collaboratively with specialists and cross-functional teams to implement risk-based monitoring strategies
- Tackle unstructured, complex assignments requiring independent judgment and creativity
- Demonstrate commitment to collaboration, integrity, and excellence.
Requirements
- Bachelor's degree in Finance, Accounting, Business, or related field (or equivalent combination of education and experience)
- Proven analytical experience in the financial industry
- Demonstrated experience with at least one key industry risk area (e.g., Fraud and Deception, Money Laundering, Market Risk)
- Intermediate understanding of FINRA's 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
- 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 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
Benefits
- Comprehensive health, dental and vision insurance
- Basic life, accidental death and dismemberment, and supplemental life insurance
- Short- and long-term disability insurance
- Long-term care insurance
- Business travel accident insurance
- Immediate participation and vesting in a 401(k) plan with company match
- Additional FINRA-funded retirement contribution
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance programs
- Wellness programs
- 15 days of paid time off
- 5 personal days
- 9 sick days
- 2 volunteer service days
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
analytical experiencefinancial analysisresearch capabilitiesrisk fundamentalssecurities rulesU.S. GAAPrisk-based monitoring strategiesdata analysisregulatory responsescomplex assignments
Soft Skills
coachingmentorshipcollaborationintegrityexcellencecommunicationproblem-solvingquantitative skillsindependent judgmentcreativity