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New York, NY, United States (on-site)
9 days ago
Woodbridge, NJ, United States (on-site)
16 days ago
Rockville, MD, United States (on-site)
30 days ago
New York, NY, United States (on-site)
30+ days ago


Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director, with emphasis on lead role for FINRA's highest impact, highest risk, and/or complex firms.

Essential Job Functions:
  • This is the most senior-level position reporting to a Risk Monitoring Director and supports both the Risk Monitoring Director and Single Point of Accountability in identifying existing and emerging risks, and interactions with internal and external parties.Although not a direct manager of staff, this position provides leadership to risk monitoring execution based on experience and technical proficiency.
  • Conducts, as well as collaborates and leads risk monitoring activities for FINRA's highest impact, highest risk, and/or complex firms with no guidance and minimal supervision of a Risk Monitoring Director.
  • Collaborates with internal departments on a continuous basis to analyze, communicate and make recommendations with respect to regulatory intelligence unique to FINRA's highest impact, highest risk, and/or complex firms.
  • Based on technical proficiency, proactively and continuously shares expertise by mentoring, coaching, training, developing, and acting as a resource to more junior level risk monitoring staff.
  • Leads special projects including but not limited to, internal and external requests for intelligence within a Firm Grouping in response to market and industry events (e.g., Brexit, emerging product risks, trading volatility, rule development, cyber incidents, etc.)
  • Consistently demonstrates innovation by raising important issues to Risk Monitoring Director that may lead to special initiatives at a National and Firm Group level.
  • Serve as a proxy for Risk Monitoring Directors in meetings on firms or examinations.
  • Responsible for conveying risk in communications with external regulators (e.g., Federal Reserve, DTCC, OCC, SEC, NFA, CFTC, etc.) that are stakeholders unique to FINRA's largest impact, highest risk, and/or complex firms.

  • Education/Experience Requirements
  • Bachelor's Degree in Finance, Accounting, Business or related field(s), graduate degree (MBA or JD) and/or relevant industry certification(s) preferred.
  • Prior experience in FINRA's Exam and/or Risk Monitoring program preferred, demonstrated advanced analytical skills and experience in the financial industry, absorbing/processing regulatory developments and applying them to complex business models.
  • Demonstrated experience relating to all inherent industry risks (i.e., Operational, Sales Practice, Fraud and Deception, Money Laundering, Accuracy of Regulatory Capital, Credit, Market, Liquidity, and/or Segregation of Client Assets).

  • Knowledge Requirements
  • Advanced-to-Expert knowledge of FINRA's nine risk fundamentals.
  • Advanced-to-Expert knowledge of securities rules and regulations.
  • Advanced knowledge of firm business models, business lines, customer bases, products and services.
  • Intermediate-to-Advancedknowledge of U.S. GAAP accounting standards.

  • Skill Requirements
  • Proactively engage and work effectively with senior business management, across departments, and with staff in multiple locations, including partnering and collaborating with various internal departments for the identification and trending of industry and business model risks for summation and reporting to senior management.
  • Advanced written and verbal communication, financial analysis, and research skills.
  • Self-starter and able to administer very complex assignments concurrently, including unstructured assignments that require autonomy and independent judgment.
  • Advanced_ to - Expert ability to analyze internal and external data to assess inherent risks of member firms and develop regulatory responses to address higher risk areas.
  • Be proactive & solutions-oriented; innovative; collaborative and energized by the open exchange of ideas.
  • Intermediate-to-Advanced level proficiency in Microsoft Excel and Microsoft Word.
  • Advanced - to- Expert quantitative, analytical, problem solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.

  • For work that is performed in CA, CO, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate's skill set, level of experience, education and internal peer compensation comparisons.

    California: Minimum of $111,800, Maximum of $220,900
    Colorado: Minimum of $101,500, Maximum of $184,100
    New York, NY: Minimum of $121,700, Maximum of $220,900
    Washington St: Minimum of $101,500, Maximum of $211,700

    To be considered for this position, please submit an application.

    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, your browser to reach our site directly.

    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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.

    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 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 investmentrestrictions-includingdisposing 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 and Affirmative Action Employer

    All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person's relatives, friends or associates.

    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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    Job Information

    • Job ID: 67955464
    • Workplace Type: On-Site
    • Location:
      New York, New York, United States
    • Company Name For Job: FINRA
    • Position Title: Senior Principal Analyst, Large Diversified Risk Monitoring - Any FINRA Location
    • Job Function: Strategy/Planning
    • Job Type: Full-Time
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