Senior Risk Monitoring Analyst

2 weeks ago

Dallas, Texas, United States finra Full time

Position Overview:

The role involves 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 the identification of both existing and emerging risks.
  • Conducts risk evaluations for member firms, which may include those with complex or heightened risk profiles, with appropriate guidance and moderate supervision.
  • Works collaboratively with internal departments to analyze, communicate, and provide recommendations regarding regulatory insights.
  • Mentors and supports entry-level staff in risk monitoring.
  • Takes on leadership roles in special projects and technology initiatives.
  • Participates as part of a team in monitoring activities, coordinating 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 in the financial sector, with the ability to absorb and process regulatory developments and apply them to complex business models.
  • 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.
  • Intermediate familiarity with firm business models, lines of business, customer demographics, products, and services.
  • Basic understanding of U.S. GAAP accounting standards.

Skill Requirements:

  • Ability to effectively engage with senior management, collaborate across departments, and work 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 concurrently, including unstructured tasks that require independent judgment.
  • Intermediate-to-advanced proficiency in analyzing internal and external data to assess inherent risks of member firms and develop regulatory responses for higher risk areas.
  • Proactive, solutions-oriented, innovative, and collaborative, with a passion for 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 assimilate large volumes of information.

For work performed in specific states, the proposed salary range varies based on location, skill set, experience, education, and internal compensation comparisons.

FINRA provides comprehensive pay ranges to allow candidates to consider their growth potential within the organization.

#LI-Hybrid

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