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Principal Analyst, Risk Monitoring

FINRA • Rockville, MD, US • published 2026-10-19 06:32:14.609927

Description

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...

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