About FINRA
FINRA is dedicated to protecting investors and ensuring market integrity. As an independent, not-for-profit organization, we oversee brokerage firms and exchange markets, writing and enforcing rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the United States. Every day, we work to safeguard the investing public against fraud and bad practices, making us a vital force in maintaining trust and fairness in America's financial markets.
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