Associate Principal Analyst, Risk Monitoring

Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.

Essential Job Functions:

  • This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties.
  • Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal 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 more junior 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.