Principal Analyst, Risk Monitoring in Quinte West

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 senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties.
• Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal 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 more junior 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.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Education/Experience Requirements:

• Bachelor’s Degree in Finance, Accounting, Business or related field(s), or equivalent combination of education and relevant experience required.
• 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 (e.g. Fraud and Deception, Money Laundering, and Market).
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

Knowledge Requirements:

• Advanced knowledge 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.

Skill Requirements:

• 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.
• Self-starter with ability to administer 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-to-Advanced level proficiency in Microsoft Excel and Microsoft Word.
• Intermediate-to-Advanced quantitative, analytical, problem solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.

Work Conditions:

• Hybrid work environment, with defined in-person presence requirements.

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 starting at 15 days of paid time off (increasing with years of service, up to 25 days), 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); and childbirth and parental leave (available after 90 days of employment).
• Full-time employees receive nine paid holidays.

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.
• 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.

FINRA is an Equal Opportunity Employer. All qualified applicants receive consideration for employment without regard to any legally protected category.