Attorney in Philadelphia, PA

Public Interest

Philadelphia, PA

Attorney in Philadelphia, PA

Non-practicing Attorney

No

SEO-friendly Job Title: Principal Analyst, Risk Monitoring - FINRA

H1 Heading: Principal Analyst, Risk Monitoring - All FINRA Locations

H2 Heading: Conducting Risk Monitoring Activities for FINRA's Highest Impact Firms

Organization: FINRA

Department: Risk Monitoring

Job Requisition ID: R-009196

Locations: New York, NY Jersey City, NJ Jericho, NY Denver, CO Dallas, TX Boston, MA Boca Raton, FL Woodbridge, NJ Washington, DC Chicago (North Wacker Drive) San Francisco, CA Rockville, MD Philadelphia, PA Los Angeles, CA

Time Type: Full time

Posted On: Posted Today

Salary Information:

- CA: Minimum Salary $128,000, Maximum Salary $242,600
- CO/HI/MN/VT*: Minimum Salary $111,400, Maximum Salary $202,100
- IL*: Minimum Salary $122,800, Maximum Salary $222,400
- Jersey City, NJ/NYC, NY: Minimum Salary $133,700, Maximum Salary $242,600
- MA/WA: Minimum Salary $111,400, Maximum Salary $232,500
- MD/Washington, DC: Minimum Salary $128,000, Maximum Salary $232,500
- NJ State: Minimum Salary $122,800, Maximum $242,600
- NY State: Minimum Salary $111,400, Maximum Salary $242,600

Job Summary:

The Principal Analyst, Risk Monitoring will be responsible for conducting risk monitoring activities and ongoing risk assessments for FINRA members. This position reports to a Risk Monitoring Director and will have a lead role for FINRA's highest impact, highest risk, and/or complex firms. The ideal candidate will have prior experience in FINRA's Exam and/or Risk Monitoring program and demonstrated expertise in financial analysis and regulatory intelligence.

Key Responsibilities:

- Conduct risk monitoring activities for FINRA's highest impact, highest risk, and/or complex firms.
- Collaborate with internal departments to analyze and communicate regulatory intelligence.
- Mentor and train more junior risk monitoring staff.
- Lead special projects and initiatives related to industry and market events.
- Act as a proxy for Risk Monitoring Directors in meetings and communications with external regulators.
- Identify and report on emerging risks to senior management.

Education/Experience Requirements:

- Bachelor's Degree in Finance, Accounting, Business or related field(s).
- Prior experience in FINRA's Exam and/or Risk Monitoring program preferred.
- Advanced analytical skills and experience in the financial industry.
- Familiarity with inherent industry risks such as Fraud and Deception, Money Laundering, and Market.

Knowledge Requirements:

- Expert knowledge of FINRA's risk fundamentals.
- Advanced knowledge of securities rules and regulations.
- Intermediate-to-Advanced knowledge of . GAAP accounting standards.

Skill Requirements:

- Ability to effectively communicate and collaborate with senior business management and staff in multiple locations.
- Strong written and verbal communication skills.
- Self-starter with the ability to manage complex assignments independently.
- Strong analytical and problem-solving skills.
- Proficiency in Microsoft Excel and Word.

Benefits and Perks:

- Comprehensive health, dental, and vision insurance.
- 401(k) plan with company match.
- Tuition reimbursement.
- Commuter benefits.
- Paid time off, including volunteer service days.
- Additional benefits to support employee wellness, such as adoption assistance and wellness programs.

Important Information:

- FINRA employees must comply with investment restrictions and disclose all brokerage accounts.
- Employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement.
- FINRA is an equal opportunity employer and abides by federal, state, and local laws prohibiting discrimination.
- FINRA provides accommodations for applicants with disabilities during the application process.
- FINRA does not accept unsolicited resumes from search firms.
- FINRA is committed to employee wellness and offers a generous time-off program, including paid time off, sick days, and volunteer service days.

Keywords: Principal Analyst, Risk Monitoring, FINRA, Risk Assessment, Financial Industry, Regulatory Intelligence, Market Events, Fraud, Money Laundering, Market, Securities, . GAAP, Excel, Word, Benefits, Equal Opportunity, Accommodations, Wellness.