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About the Role

FINRA is seeking a Senior Risk Monitoring Analyst to play a pivotal role in safeguarding the integrity of U.S. securities markets. In this high-impact position, you'll identify emerging risks, assess complex member firms, and collaborate across the organization to protect investors and maintain fair markets.

Responsibilities

• Conduct sophisticated risk monitoring of member firms, including complex or elevated-risk organizations, with minimal supervision
• Analyze regulatory developments and market trends, translating them into actionable recommendations for senior leadership
• Partner with internal departments to identify, communicate, and address emerging risks across the financial industry
• Coach and develop junior risk monitoring staff, sharing your expertise and fostering a culture of excellence
• Take leadership roles in special projects and technology initiatives that advance FINRA's risk monitoring capabilities
• Coordinate with specialists across the organization to deliver comprehensive risk assessments
• Demonstrate commitment to collaboration, innovation, and investor protection in all interactions—both in-person and virtually

Requirements

• Bachelor's degree in Finance, Accounting, Business, or related field (or equivalent combination of education and experience)
• Proven analytical experience in the financial services industry, with demonstrated ability to interpret and apply regulatory developments to complex business models
• Direct experience addressing one or more key industry risks, such as: Fraud and Deception, Money Laundering, and Market Risk

Skills

• Advanced understanding 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 U.S. GAAP accounting standards
• Intermediate-to-Advanced proficiency in Microsoft Excel and Word
• Intermediate written and verbal communication skills with ability to present complex information clearly
• Strong financial analysis and research capabilities
• Intermediate-to-Advanced quantitative and analytical problem-solving abilities
• Proven ability to manage multiple complex, unstructured assignments simultaneously with autonomy and sound judgment
• Self-starter mentality with ability to work independently and make informed decisions
• Intermediate-to-Advanced ability to analyze diverse data sources to assess member firm risks and develop targeted regulatory responses
• Effective collaborator who builds relationships with senior business leaders across departments and locations
• Proactive and solutions-oriented approach to challenges
• Innovative mindset energized by the open exchange of ideas
• Skilled at accumulating, organizing, and synthesizing large volumes of information

Location

• Washington, DC
• New York, NY

Work Type

• Hybrid

Experience Level

• Senior
• Principal

Education Level

• Bachelor's degree
• Graduate degree (MBA or JD)
• Relevant industry certifications (e.g., CFA, CAMS, Series licenses)

Salary/Compensations

• Employees may be eligible for a discretionary bonus in addition to base pay.
• Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law.

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, short- and long-term disability, long-term care, business travel accident, disability and legal insurance
• Immediate participation and vesting in a 401(k) plan with company match
• Eligibility for participation in an additional FINRA-funded retirement contribution
• Tuition reimbursement
• Commuter benefits
• Adoption assistance
• Backup family care
• Surrogacy benefits
• Employee assistance programs
• Wellness programs
• 15 days of paid time off
• 5 personal days
• 9 sick days
• Two volunteer service days
• 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)
• Nine paid holidays

About the Company

• FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States.
• FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight.
• FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers.
• FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms.
• FINRA uses technology powerful enough to look across markets and detect potential abuses.
• In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.
• FINRA operates from Washington, DC, and New York, NY, with other offices around the country.

Equal Opportunity

• All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.
• 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.