Principal Analyst, Risk Monitoring

The Opportunity

Elevate your regulatory career as a Senior Risk Monitoring Analyst, where you'll serve as a strategic advisor in identifying and mitigating risks that threaten investor protection and market integrity. This senior-level position puts you at the forefront of sophisticated risk analysis, working with minimal supervision to assess complex and elevated‑risk member firms. You'll mentor emerging talent, lead high‑impact projects, collaborate with senior leadership across FINRA, and shape regulatory responses to evolving market threats. If you're a seasoned risk professional ready to leverage your expertise at the highest levels of securities regulation, this is your opportunity to make a lasting impact.

What You'll Do

• Lead Complex Risk Assessments: Independently conduct sophisticated risk monitoring of member firms, including those with complex business models or elevated risk profiles, with minimal supervision
• Drive Strategic Intelligence: Analyze regulatory trends and emerging risks, collaborating across departments to develop actionable recommendations that inform FINRA's supervisory strategy
• Advise Senior Leadership: Engage directly with senior business management and executive stakeholders, presenting risk findings and regulatory intelligence that shape organizational priorities
• Mentor the Next Generation: Coach and develop junior risk monitoring staff, sharing your expertise and elevating the capabilities of the entire team
• Lead Strategic Initiatives: Take ownership of special projects and technology initiatives, driving innovation in risk monitoring methodologies and tools
• Execute Team‑Based Strategies: Coordinate with specialists and cross‑functional teams to develop and implement comprehensive risk‑based monitoring approaches for your assigned firm portfolio
• Synthesize Complex Data: Analyze vast amounts of internal and external data to identify risk patterns, develop insights, and craft regulatory responses that address higher‑risk areas
• Influence Regulatory Direction: Partner with internal departments to identify and trend industry and business model risks, delivering summaries and strategic recommendations to senior management

Required Qualifications

Education & Experience

• Bachelor's degree in Finance, Accounting, Business, or related field (or equivalent combination of education and experience)
• Extensive demonstrated analytical experience in the financial industry, including interpreting regulatory developments and applying them to complex business models
• Proven experience addressing one or more key industry risks (Fraud and Deception, Money Laundering, Market Risk)

Knowledge

• 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

Skills

• Strong ability to engage effectively with senior business management and collaborate across departments and locations
• Intermediate written and verbal communication abilities with proven financial analysis and research skills
• Self‑starter capable of managing multiple complex, concurrent assignments requiring autonomy and independent judgment
• Intermediate‑to‑advanced proficiency in analyzing internal and external data to assess firm risks and develop targeted regulatory responses
• Intermediate‑to‑advanced proficiency in Microsoft Excel and Microsoft Word
• Strong quantitative, analytical, and problem‑solving capabilities with ability to synthesize large volumes of complex information
• Proactive, solutions‑oriented mindset with innovative thinking and enthusiasm for collaborative idea exchange

Preferred Qualifications

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

What Makes You a Great Fit

You're a strategic thinker who sees the big picture while mastering the details. You've built deep expertise in risk assessment and can confidently operate with minimal oversight, making sound judgments about complex regulatory matters. You thrive on intellectual challenge and are energized by the opportunity to mentor others while continuing to grow your own expertise. You communicate with clarity and confidence at all organizational levels—from coaching junior staff to presenting to senior executives. You're innovative and solutions‑oriented, always looking for better ways to identify and address emerging risks. Most importantly, you're driven by purpose: protecting investors and maintaining market integrity isn't just your job—it’s your calling.

Work Environment

Enjoy the flexibility of a hybrid work model with defined in‑person collaboration requirements, enabling you to balance focused analytical work with strategic team engagement and stakeholder interaction.

Salary Range (Location‑Specific)

• Los Angeles, CA: Minimum $122,207 – Maximum $183,311
• San Francisco, CA: Minimum $127,520 – Maximum $191,280
• CO / FL / TX: Minimum $97,700 – Maximum $176,100
• IL / PA: Minimum $107,500 – Maximum $194,100
• MA / MD / VA / Washington, DC: Minimum $112,300 – Maximum $202,500
• NY / NJ: Minimum $112,300 – Maximum $211,400

FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to the candidate’s skill set, level of experience, education, and market considerations.

#LI-Hybrid

Application

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

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.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.

Benefits

• 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.
• Comprehensive health, dental and vision insurance.
• Additional insurance includes 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.
• Immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA‑funded retirement contribution.
• Tuition reimbursement, commuter benefits, and other wellness‑supporting benefits such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time‑off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro‑rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full‑time schedule).

Other paid leave includes:

• Military leave
• Jury duty leave
• Bereavement leave
• Voting and election official leave for federal, state or local primary and general elections
• Care of a family member leave (available after 90 days of employment)
• Childbirth and parental leave (available after 90 days of employment)

Full‑time employees receive nine paid holidays.

*Based on full‑time schedule.