Job Description
About the position Elevate your regulatory career as a Senior Risk Monitoring Analyst, where you'll serve as a strategic advisor in identifying and mitigating risks that threaten investor protection and market integrity. This senior-level position puts you at the forefront of sophisticated risk analysis, working with minimal supervision to assess complex and elevated-risk member firms. You'll mentor emerging talent, lead high-impact projects, collaborate with senior leadership across FINRA, and shape regulatory responses to evolving market threats. If you're a seasoned risk professional ready to leverage your expertise at the highest levels of securities regulation, this is your opportunity to make a lasting impact. Responsibilities • Lead Complex Risk Assessments: Independently conduct sophisticated risk monitoring of member firms, including those with complex business models or elevated risk profiles, with minimal supervision • Drive Strategic Intelligence: Analyze regulatory trends and emerging risks, collaborating across departments to develop actionable recommendations that inform FINRA's supervisory strategy • Advise Senior Leadership: Engage directly with senior business management and executive stakeholders, presenting risk findings and regulatory intelligence that shape organizational priorities • Mentor the Next Generation: Coach and develop junior risk monitoring staff, sharing your expertise and elevating the capabilities of the entire team • Lead Strategic Initiatives: Take ownership of special projects and technology initiatives, driving innovation in risk monitoring methodologies and tools • Execute Team-Based Strategies: Coordinate with specialists and cross-functional teams to develop and implement comprehensive risk-based monitoring approaches for your assigned firm portfolio • Synthesize Complex Data: Analyze vast amounts of internal and external data to identify risk patterns, develop insights, and craft regulatory responses that address higher-risk areas • Influence Regulatory Direction: Partner with internal departments to identify and trend industry and business model risks, delivering summaries and strategic recommendations to senior management Requirements • Bachelor's degree in Finance, Accounting, Business, or related field (or equivalent combination of education and experience) • Extensive demonstrated analytical experience in the financial industry, including interpreting regulatory developments and applying them to complex business models • Proven experience addressing one or more key industry risks (Fraud and Deception, Money Laundering, Market Risk) • Advanced understanding of FINRA's risk fundamentals • Intermediate-to-advanced knowledge of securities rules and regulations • Intermediate-to-advanced knowledge of firm business models, business lines, customer bases, products, and services • Intermediate knowledge of U.S. GAAP accounting standards • Strong ability to engage effectively with senior business management and collaborate across departments and locations • Intermediate written and verbal communication abilities with proven financial analysis and research skills • Self-starter capable of managing multiple complex, concurrent assignments requiring autonomy and independent judgment • Intermediate-to-advanced proficiency in analyzing internal and external data to assess firm risks and develop targeted regulatory responses • Intermediate-to-advanced proficiency in Microsoft Excel and Microsoft Word • Strong quantitative, analytical, and problem-solving capabilities with ability to synthesize large volumes of complex information • Proactive, solutions-oriented mindset with innovative thinking and enthusiasm for collaborative idea exchange Nice-to-haves • Graduate degree (MBA or JD) • Relevant industry certifications (e.g., CFA, CFE, CAMS, Series licenses) Benefits • Employees may be eligible for a discretionary bonus in addition to base pay. • Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. • As part of its dedication to employee wellness, 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, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs. • 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, unless otherwise required by law (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.