Principal Risk Analyst, HRr

The High Risk Representative Team (HRR) is a specialized unit within FINRA's National Cause and Financial Crimes Program (NCFC). The Principal Analyst in the High Risk RR Unit independently conducts risk monitoring activities and ongoing risk assessments of FINRA High Risk Registered Representatives.

The Principal Analyst demonstrates a highly proficient level of competence in analyzing regulatory intelligence, completing risk assessments, and making appropriate regulatory response recommendations while collaboratively communicating those recommendations to various internal departments. The Principal Analyst collaborates with Risk Monitoring Staff, Firm Examination teams, Cause Examinations, and Enforcement Investigators & Attorneys, as necessary.

Essential Job Functions:

- Independently conducts risk monitoring activities and ongoing risk assessments of FINRA High Risk Registered Representatives.
- Reviews nominations of potential High Risk Representatives and recommends and communicates appropriate regulatory responses.
- Monitors incoming regulatory intelligence for High Risk Representatives and makes recommendations for HRR Exam escalation when appropriate.
- Independently utilizes investigative systems, tools, technology and processes.
- Acts as a liaison between the HRR Unit and Risk Monitoring Staff, Firm Examination teams, Cause Examinations, and Enforcement Investigators & Attorneys through collaborative coordination.
- Occasionally assists with HRR Examination work.
- Acts as the primary contact for the HRR Unit with various regulatory systems and databases such as BSA FinCEN and MATRICs.

Education & Experience Requirements:

- Bachelor's Degree or Advanced Degree required. CFE, ACAMS or other relevant professional certifications a plus.
- Experience in conducting securities investigations, including those resulting in disciplinary action (fraud investigations a plus).

Knowledge Requirements:

- Advanced understanding of FINRA's internal infrastructure (i.e. CRD, Exam Workspace, Surveillance Workspace, Enterprise Search, Profiles).
- Advanced knowledge of sales practice risks, investment products, SEC laws, and FINRA rules; and regulations.
- Working knowledge of FINRA internal operations including Front-End Cause Intake, exam association and reassignment, and exam creation and maintenance.

Skill Requirements:

- Ability to work collaboratively with risk monitoring, firm examination, cause teams, enforcement, external parties.
- Excellent verbal and written communication skills and the ability to thoroughly document and communicate recommendations.
- Advanced organizational skills and the ability to manage many competing tasks and priorities.
- Advanced analytical skills and the ability to make prompt decisions with limited information.

Working Conditions:

- Work is normally performed in an office environment at FINRA and member firm premises. Environment includes high productivity expectations and tight deadlines.
- Work outside of business hours and travel is required.

California: Minimum Salary $106,400, Maximum Salary $200,200

Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800

Colorado/Hawaii: Minimum Salary $92,500, Maximum Salary $166,800

New York, NY: Minimum Salary $111,000, Maximum Salary $200,200

Washington State: Minimum Salary $92,500, Maximum Salary $191,800

LI-Hybrid
- 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._

Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits.

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 (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 n