Associate Principal Analyst, Risk Monitoring
financial industry regulatory authorityEast Boston, MA
Associate Principal Analyst, Risk Monitoring
L5
financial industry regulatory authorityEast Boston, MAtoday
Industries
Portfolio Management and Investment AdviceInvestment Banking and Securities IntermediationMiscellaneous Financial Investment ActivitiesOverview:
In questa role you monitor and assess risks across FINRA member firms, supporting the Risk Monitoring Director and collaborating with internal teams on regulatory intelligence. You will mentor junior staff, lead or contribute to special projects and technology initiatives, and help translate risk analysis into actionable regulatory responses. The role blends hands-on risk assessment with cross-department collaboration to protect investors and uphold market integrity. A meaningful hook is the opportunity to shape risk monitoring at a prominent securities regulator. Compensation / Benefits comprehensive health, dental and vision insurance 401(k) with company match and additional retirement contribution tuition reimbursement commuter benefits and wellness programs paid time off and holidays, volunteer days family and dependent leave options
Responsibilities:
Conduct risk monitoring and ongoing risk assessments for FINRA member firms, including elevated risk cases with supervision Collaborate with internal departments to analyze regulatory developments and recommend responses Mentor and coach entry-level risk monitoring staff Lead or participate in special projects and technology initiatives Coordinate with specialists and work as part of a risk monitoring team to address assigned firms
Key requirements:
Bachelor's degree in Finance, Accounting, Business or related field (MBA/JD and/or certifications preferred) Demonstrated analytical skills with experience in financial industry and regulatory developments Experience relating to inherent industry risks (e.g., Fraud, Money Laundering, Market) FINRA Securities Industry Essentials (SIE) certification required at hire or within 16 months Intermediate knowledge of FINRA risk fundamentals and securities rules Understanding of firm business models, products/services, and basic U.S. GAAP Strong communication (written and verbal) with senior management Collaborative and cross-departmental teamwork Proactive, solutions-oriented, and innovative mindset Financial analysis and research Data synthesis from internal and external sources to assess risks Microsoft Excel (intermediate) and Microsoft Word (intermediate)
Apply now (opens in a new tab)
Level
SeniorL5
Location
East Boston, MA
Occupation
Financial Risk Specialists
Industry
Portfolio Management and Investment Advice
Posted
today
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