Attorney in Boston, MA

Public Interest

Boston, MA

Attorney in Boston, MA

Non-practicing Attorney

No

Principal Analyst, Risk Monitoring - Capital Markets - All FINRA Locations

- Full-time position with varying locations across the United States
- Competitive salary based on experience and location
- Bachelor's degree in Finance, Accounting, Business or related field required
- Advanced knowledge of FINRA's risk fundamentals and securities rules and regulations
- Minimum of 5 years of experience in financial industry, with demonstrated analytical skills
- Ability to analyze and interpret complex business models and apply regulatory developments
- Mentor and coach junior level risk monitoring staff
- Proficiency in Microsoft Excel and Word
- Strong written and verbal communication skills
- Ability to work collaboratively with various internal departments and senior management
- Proactive, innovative, and solutions-oriented mindset
- Ability to handle multiple assignments and prioritize effectively

Job Title: Principal Analyst, Risk Monitoring - Capital Markets

H1: Join Our Team as a Principal Analyst of Risk Monitoring

H2: Take on a Senior Role in Risk Monitoring at FINRA

Organization: FINRA (Financial Industry Regulatory Authority)

Department: Risk Monitoring

Job Requisition ID: R-009173

Job Type: Full-time

Location: Varying locations across the United States

Salary Range: Competitive salary based on experience and location

Experience: Minimum of 5 years of experience in financial industry

Education: Bachelor's degree in Finance, Accounting, Business or related field (MBA or JD preferred)

Responsibilities:

- Conduct risk monitoring activities for assigned firms, with guidance from a Risk Monitoring Director
- Collaborate with internal departments to analyze and communicate regulatory intelligence
- Mentor and coach junior level risk monitoring staff
- Serve in leadership roles for special projects and technology initiatives
- Work as part of a team to execute risk monitoring for assigned firms
- Identify existing and emerging risks and make recommendations to senior management
- Analyze and interpret complex business models and apply regulatory developments
- Handle multiple assignments and prioritize effectively

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
- Minimum of 5 years of experience in financial industry, with demonstrated analytical skills
- Demonstrated experience relating to one or more of the inherent industry risks (. Fraud and Deception, Money Laundering, and Market)

Knowledge Requirements:

- Advanced knowledge 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 . GAAP accounting standards

Skill Requirements:

- Ability to engage and work effectively with senior business management, across departments, and with staff in multiple locations
- Intermediate written and verbal communication, financial analysis, and research skills
- Self-starter with ability to administer complex assignments concurrently
- Intermediate-to-Advanced ability to analyze internal and external data to assess inherent risks of member firms and develop regulatory responses
- Proactive & solutions-oriented; innovative; collaborative and energized by the open exchange of ideas
- Intermediate-to-Advanced level proficiency in Microsoft Excel and Microsoft Word
- Intermediate-to-Advanced quantitative, analytical, problem solving skills

Salary Information:

- CA: Minimum Salary $109,600, Maximum Salary $206,200
- CO/HI/MN/VT*: Minimum Salary $95,300, Maximum Salary $171,800
- IL*: Minimum Salary $104,900, Maximum Salary $189,400
- Jersey City, NJ/NYC, NY: Minimum Salary $114,300, Maximum Salary $206,200
- MA/WA: Minimum Salary $95,300, Maximum Salary $197,600
- MD/Washington, DC: Minimum Salary $109,600 Maximum Salary $197,600
- NJ State: Minimum Salary $104,900, Maximum $206,200
- NY State: Minimum Salary $95,300, Maximum Salary $206,200

*Including positions performed outside the state but reporting to an office or manager in that state.

Benefits:

- Comprehensive health, dental, and vision insurance
- Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment insurance
- Short- and long-term disability insurance
- Long-term care insurance
- Business travel accident insurance
- Tuition reimbursement
- Commuter benefits
- Adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs
- 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution

Time Off and Paid Leave:

- 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in the first year)
- 2 volunteer service days (based on full-time schedule)
- Military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave (available after 90 days of employment)
- Childbirth and parental leave (available after 90 days of employment)
- 9 paid holidays (based on full-time schedule)

Important Information:

- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures related to our role as a securities regulator
- Employees must disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements to FINRA
- Employees may only maintain securities accounts at firms that provide an electronic feed (e-feed) of data to FINRA
- Employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism

Search Firm Representatives:

- FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity
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