Associate Principal Risk Monitoring Analyst, Trading and Execution

    • New York, NY

Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.

Essential Job Functions:

  • This is a mid-level position with staff developing in role and reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks.
  • Conducts risk monitoring for member firms that can include complex or elevated risk firms with guidance and moderate supervision of a Risk Monitoring Director or designee.
  • Collaborates with internal departments to analyze, communicate and make recommendations with respect to regulatory intelligence.
  • Mentor and coach entry-level risk monitoring staff.
  • Serve in leadership roles related to special projects and technology initiatives.
  • Ability to perform as part of a team conducting monitoring (including coordination with specialists) to execute against risks of assigned firms.


Education/Experience Requirements:
  • Bachelor's Degree in Finance, Accounting, Business or related field(s), graduate degree (MBA or JD) and/or relevant industry certification(s) preferred.
  • Demonstrated analytical skills and experience, including financial industry, absorbing/processing regulatory developments and applying them to complex business models.
  • Demonstrated experience relating to one or more of the inherent industry risks (i.e., Operational, Sales Practice, Fraud and Deception, Money Laundering, Accuracy of Regulatory Capital, Credit, Market, Liquidity, and/or Segregation of Client Assets).
  • Intermediate knowledge of FINRA's nine risk fundamentals.
  • Intermediate knowledge of securities rules and regulations.
  • Intermediate knowledge of firm business models, business lines, customer bases, products and services.
  • Basic knowledge of U.S. GAAP accounting standards.
  • Ability to engage and work effectively with senior business management, across departments, and with staff in multiple locations, including partnering and collaborating with various internal departments for the identification and trending of industry and business model risks for summation and reporting to senior management.
  • Intermediate written and verbal communication, financial analysis, and research skills.
  • Developing ability to administer increasingly complex assignments concurrently, including unstructured assignments that require autonomy and independent judgment.
  • Intermediate-to-Advanced ability to analyze internal and external data to assess inherent risks of member firms and develop regulatory responses to address higher risk areas.
  • Be proactive & solutions-oriented; innovative; collaborative and energized by the open exchange of ideas.
  • Intermediate level proficiency in Microsoft Excel and Microsoft Word.
  • Intermediate quantitative, analytical, problem solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.

To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

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FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.

In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictionsâ€"including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentâ€"by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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