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About the role
Key responsibilities & impact- Conduct sophisticated risk monitoring of member firms, including complex or elevated-risk organizations, with minimal supervision
- Analyze regulatory developments and market trends, translating them into actionable recommendations for senior leadership
- Partner with internal departments to identify, communicate, and address emerging risks across the financial industry
- Coach and develop junior risk monitoring staff, sharing your expertise and fostering a culture of excellence
- Take leadership roles in special projects and technology initiatives that advance FINRA's risk monitoring capabilities
- Coordinate with specialists across the organization to deliver comprehensive risk assessments
- Demonstrate commitment to collaboration, innovation, and investor protection in all interactions
Requirements
What you’ll need- Bachelor's degree in Finance, Accounting, Business, or related field (or equivalent combination of education and experience)
- Proven analytical experience in the financial services industry
- Direct experience addressing one or more key industry risks: Fraud and Deception, Money Laundering, and Market Risk
- Advanced understanding 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-to-Advanced proficiency in Microsoft Excel and Word
- Intermediate written and verbal communication skills with ability to present complex information clearly
- Strong financial analysis and research capabilities
- Intermediate-to-Advanced quantitative and analytical problem-solving abilities
- Proven ability to manage multiple complex, unstructured assignments simultaneously with autonomy and sound judgment
- Self-starter mentality and ability to work independently
Benefits
Comp & perks- Health, dental and vision insurance
- Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment insurance
- Short- and long-term disability
- Long-term care insurance
- Business travel accident insurance
- Disability and legal insurance
- 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance programs and wellness programs
- Generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days
- Two volunteer service days (based on full-time schedule)
- Paid military leave, jury duty leave, bereavement leave, voting and election official leave, care of family member leave, childbirth and parental leave and nine paid holidays
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
analytical experiencerisk monitoringfinancial analysisquantitative problem-solvingU.S. GAAPsecurities rulesregulatory developmentsmarket trendsrisk assessmentsbusiness models
Soft Skills
leadershipcoachingcollaborationcommunicationinnovationautonomysound judgmentpresentation skillsmentorshipculture of excellence