Principal Analyst, Risk Monitoring
Core
Conduct risk monitoring activities and ongoing risk assessments for FINRA member firms, identifying existing and emerging risks to support regulatory intelligence and investor protection.
Role type
Senior individual contributor risk analyst (regulatory)
Builds
Regulatory intelligence reports and risk assessments for senior management
Domain
Financial regulation / Securities industry
Deliverable
dashboards & analysis
Required skills
Risk assessment, regulatory intelligence analysis, financial analysis, data analysis, mentoring, project leadership
Preferred skills
MBA, JD, industry certifications (SIE or equivalent), advanced Excel proficiency
Technologies
Microsoft Excel, Microsoft Word
Responsibilities
Conduct complex risk monitoring for elevated risk firms with minimal supervision, collaborate with internal departments to analyze and communicate regulatory intelligence, mentor junior risk monitoring staff, lead special projects and technology initiatives, coordinate with specialists to execute risk monitoring for assigned firms.
Seniority
Senior, hands-on IC with mentorship responsibilities