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Senior Risk Analyst, Monitoring and Assessment

2 months ago

Dallas, Texas, United States finra Full time

Position Overview:

The role entails overseeing risk evaluation processes and continuous risk assessments for FINRA members under the guidance of a Risk Monitoring Director.

Key Responsibilities:

  • This is a mid-level role where staff are developing in their positions, reporting directly to a Risk Monitoring Director, and assisting in identifying both existing and emerging risks.
  • Conducts risk evaluations for member firms, which may include complex or high-risk entities, with the guidance and moderate supervision of a Risk Monitoring Director or their designee.
  • Works collaboratively with internal departments to analyze, communicate, and provide recommendations regarding regulatory intelligence.
  • Mentors and provides guidance to entry-level risk monitoring personnel.
  • Takes on leadership roles in special projects and technology initiatives.
  • Functions effectively as part of a team conducting monitoring activities, including coordination with specialists to address risks associated with assigned firms.

Education and Experience Requirements:

  • A Bachelor's Degree in Finance, Accounting, Business, or related fields, or an equivalent combination of education and relevant experience is required. A graduate degree (MBA or JD) and/or relevant industry certifications are preferred.
  • Proven analytical skills and experience, particularly within the financial sector, with the ability to absorb and process regulatory developments and apply them to complex business models.
  • Demonstrated experience related to one or more inherent industry risks, such as Fraud and Deception, Money Laundering, and Market Risks.

Knowledge Requirements:

  • Intermediate understanding of FINRA's risk fundamentals.
  • Intermediate knowledge of securities regulations and compliance.
  • Intermediate familiarity with firm business models, business lines, customer bases, products, and services.
  • Basic understanding of U.S. GAAP accounting standards.

Skill Requirements:

  • Ability to engage and collaborate effectively with senior business management across departments and with staff in various locations, including partnering with internal departments to identify and trend industry and business model risks for reporting to senior management.
  • Intermediate written and verbal communication skills, along with financial analysis and research capabilities.
  • Developing ability to manage increasingly complex assignments simultaneously, including unstructured tasks that require autonomy and independent judgment.
  • Intermediate-to-advanced proficiency in analyzing internal and external data to assess inherent risks of member firms and formulate regulatory responses to address higher-risk areas.
  • Proactive and solutions-oriented mindset; innovative and collaborative, thriving on the open exchange of ideas.
  • Intermediate proficiency in Microsoft Excel and Microsoft Word.
  • Intermediate quantitative and analytical problem-solving skills, including the ability to gather, organize, and synthesize large volumes of information.

Compensation details vary based on location, skill set, experience level, education, and internal peer compensation comparisons.

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