Associate Principal Analyst, Risk Monitoring

Essential Job Functions: This is a mid-level position with staff developing in role and reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks. Conducts risk monitoring for member firms that can include complex or elevated risk firms with guidance and moderate supervision of a Risk Monitoring Director or designee. Collaborates with internal departments to analyze, communicate and make recommendations with respect to regulatory intelligence. Mentor and coach entry-level risk monitoring staff. Serve in leadership roles related to special projects and technology initiatives. Ability to perform as part of a team conducting monitoring (including coordination with specialists) to execute against risks of assigned firms. Demonstration of FINRA's values. Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity. Education/Experience Requirements: Bachelor's Degree in Finance, Accounting, Business or related field(s), or equivalent combination of education and relevant experience required. Graduate degree (MBA or JD) and/or relevant industry certification(s) preferred. Demonstrated analytical skills and experience, including financial industry, absorbing/processing regulatory developments and applying them to complex business models. Demonstrated experience relating to one or more of the inherent industry risks (e.g. Fraud and Deception, Money Laundering, and Market).FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

Knowledge Requirements: Intermediate knowledge of FINRA's risk fundamentals. Intermediate knowledge of securities rules and regulations. Intermediate knowledge of firm business models, business lines, customer bases, products and services. Basic knowledge of U.S. GAAP accounting standards.

Skill Requirements: Ability to 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. Intermediate written and verbal communication, financial analysis, and research skills. Developing ability to administer increasingly complex assignments concurrently, including unstructured assignments that require autonomy and independent judgment. Intermediate-to-Advanced 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 level proficiency in Microsoft Excel and Microsoft Word. Intermediate quantitative, analytical, problem solving skills, including the ability to accumulate, organize, and assimilate large amounts of information. Work Conditions: Hybrid work environment, with defined in-person presence requirements. Salary Ranges: Los Angeles, CA: $88,252 - $110,315 San Francisco, CA: $92,665 - $138,997 Boston, MA: $96,600 - $172,800 Chicago, IL: $92,400 - $165,300 Denver, CO: $83,900 - $150,300 Jericho, NY: $96,600 - $172,800 Jersey City, NJ: $100,800 - $180,400 Philadelphia, PA: $92,400 - $165,300 New York, NY: $100,800 - $180,400 Rockville, MD: $96,600 - $172,800 Tysons, VA: $96,600 - $172,800 Washington, DC: $96,600 - $172,800 Woodbridge, NJ: $96,600 - $172,800 Connecticut State: $83,900 - $180,400 Washington State: $83,900 - $180,400To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.