Principal Analyst, Risk Monitoring

Join FINRA's mission to protect investors and ensure market integrity

Are you a seasoned financial regulatory professional ready to make a meaningful impact? FINRA is seeking a Senior Risk Monitoring Analyst to play a pivotal role in safeguarding the integrity of U.S. securities markets. In this high-impact position, you'll identify emerging risks, assess complex member firms, and collaborate across the organization to protect investors and maintain fair markets.

What You'll Do

As a Principal Risk Monitoring Analyst, you'll serve as a trusted advisor and risk expert, reporting directly to a Risk Monitoring Director. Your insights will shape regulatory responses to evolving market risks.

Your Core Responsibilities:

• Lead Risk Assessments: Conduct sophisticated risk monitoring of member firms, including complex or elevated-risk organizations, with minimal supervision
• Drive Strategic Intelligence: Analyze regulatory developments and market trends, translating them into actionable recommendations for senior leadership
• Collaborate Across Functions: Partner with internal departments to identify, communicate, and address emerging risks across the financial industry
• Mentor Future Leaders: Coach and develop junior risk monitoring staff, sharing your expertise and fostering a culture of excellence
• Champion Innovation: Take leadership roles in special projects and technology initiatives that advance FINRA's risk monitoring capabilities
• Execute Team-Based Monitoring: Coordinate with specialists across the organization to deliver comprehensive risk assessments
• Embody FINRA's Values: Demonstrate commitment to collaboration, innovation, and investor protection in all interactions—both in-person and virtually

Required Qualifications

Education & Experience:

• 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, with demonstrated ability to interpret and apply regulatory developments to complex business models
• Direct experience addressing one or more key industry risks, such as: Fraud and Deception, Money Laundering, and Market Risk
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort

Knowledge:

• 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

Skills:

• 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 with ability to work independently and make informed decisions
• Intermediate-to-Advanced ability to analyze diverse data sources to assess member firm risks and develop targeted regulatory responses

Working Style:

• Effective collaborator who builds relationships with senior business leaders across departments and locations
• Proactive and solutions-oriented approach to challenges
• Innovative mindset energized by the open exchange of ideas
• Skilled at accumulating, organizing, and synthesizing large volumes of information

Preferred Qualifications

• Graduate degree (MBA or JD)
• Relevant industry certifications (e.g., CFA, CAMS, Series licenses)

Ready to protect investors and strengthen market integrity? Join a team where your expertise will make a difference every day. At FINRA, you'll work alongside dedicated professionals committed to maintaining fair and transparent markets for all Americans.

#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 www.finra.org/careers 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

FINRA’s 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 Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by 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 FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s 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.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s Employee Relations team at 240-386-4865 or by email at EmployeeRelations@FINRA.org. Please note that this process is exclusively for inquiries regarding accommodations in the application process.

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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