Senior Principal Risk Analyst

1 day ago


New York, New York, United States Financial Industry Regulatory Authority , Inc. Full time
Job Summary

We are seeking a highly skilled Senior Principal Risk Analyst to join our team at the Financial Industry Regulatory Authority, Inc. (FINRA). As a key member of our Risk Monitoring department, you will be responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members.

The ideal candidate will have a strong background in risk management, with experience in conducting risk assessments and developing regulatory responses to address higher risk areas. You will work closely with internal departments to analyze and communicate regulatory intelligence, and provide leadership to risk monitoring execution based on your technical proficiency.

This is a senior-level position that requires a high level of autonomy and independent judgment. You will be responsible for conducting special projects, including internal and external requests for intelligence within a Firm Grouping in response to market and industry events.

We offer a competitive salary range of $124,300 to $235,500, depending on location and experience. Our benefits package includes comprehensive health, dental, and vision insurance, as well as a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution.

Apply now to join our team and contribute to the success of FINRA's Risk Monitoring department.

Key Responsibilities
  • Conduct risk monitoring activities and ongoing risk assessments of FINRA members
  • Develop regulatory responses to address higher risk areas
  • Work closely with internal departments to analyze and communicate regulatory intelligence
  • Provide leadership to risk monitoring execution based on technical proficiency
  • Conduct special projects, including internal and external requests for intelligence within a Firm Grouping
Requirements
  • Bachelor's Degree in Finance, Accounting, Business, or related field
  • Advanced analytical skills and experience in the financial industry
  • Expert knowledge of FINRA's risk fundamentals
  • Advanced-to-Expert knowledge of securities rules and firm business models
  • Intermediate-to-Advanced knowledge of U.S. GAAP accounting standards

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