Principal Analyst, Risk Monitoring
Core
Conduct risk monitoring and assessments for FINRA member firms, identifying emerging risks and developing regulatory responses.
Role type
Senior IC risk analyst (financial regulation)
Builds
Regulatory intelligence reports and risk mitigation strategies for member firms
Domain
Financial services / Securities regulation
Deliverable
dashboards & analysis
Required skills
Risk assessment, Financial analysis, Regulatory intelligence, Team mentorship, Data analysis, Strategic project leadership
Preferred skills
MBA, JD, Industry certifications, 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 duties
