Principal Analyst, Risk Monitoring
Core
Lead risk monitoring for complex, high-profile member firms to protect investors and maintain market integrity.
Role type
Senior IC risk monitoring analyst (financial regulation)
Builds
Regulatory intelligence and actionable risk assessments for member firms
Domain
Financial services / Securities regulation
Required skills
Analytical experience in financial industry, core industry risk area expertise (Fraud, Money Laundering, Market Risk), FINRA SIE certification, advanced knowledge of securities rules and regulations, ability to analyze internal/external data, proficiency in Microsoft Excel and Word, quantitative and analytical problem-solving
Preferred skills
Graduate degree (MBA or JD), relevant industry certifications (CFA, CFE, CAMS, Series licenses)
Responsibilities
Lead risk monitoring activities for elevated-risk firms, identify emerging and existing risks, collaborate cross-functionally to analyze regulatory developments, mentor junior staff, lead special projects and technology initiatives
Seniority
Senior, hands-on IC with strategic influence
