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Associate Principal Analyst, Risk Monitoring - All Finra Locations

June 5, 2026

About the position

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 Join our team as a Risk Monitoring Analyst and play a pivotal role in safeguarding investors and maintaining market integrity. In this dynamic mid-level position, you'll conduct sophisticated risk assessments of FINRA member firms, identify emerging threats to the financial system, and mentor the next generation of regulatory professionals. Working closely with a Risk Monitoring Director, you'll have the opportunity to make a real impact by analyzing complex firm operations, collaborating across departments, and contributing to strategic initiatives that protect millions of investors.

Responsibilities

Monitor Complex Firms : Conduct comprehensive risk monitoring of member firms, including those with elevated risk profiles, ensuring thorough oversight and regulatory compliance
Drive Strategic Intelligence : Collaborate across departments to analyze regulatory trends, communicate critical findings, and develop actionable recommendations that shape our supervisory approach
Lead and Mentor : Guide entry-level staff through coaching and mentorship while taking on leadership roles in special projects and technology initiatives
Execute Team-Based Monitoring : Work collaboratively with specialists and cross-functional teams to develop and implement risk-based monitoring strategies for your assigned portfolio
Innovate and Problem-Solve : Tackle unstructured, complex assignments that require independent judgment, creativity, and a solutions-oriented mindset
Embody FINRA Values : Demonstrate our commitment to collaboration, integrity, and excellence in both virtual and in-person settings

Requirements

Bachelor's degree in Finance, Accounting, Business, or related field (or equivalent combination of education and experience)
Proven analytical experience in the financial industry, including the ability to interpret regulatory developments and apply them to complex business models
Demonstrated experience with at least one key industry risk area (e.g., Fraud and Deception, Money Laundering, Market Risk)
Intermediate understanding of FINRA's risk fundamentals
Intermediate knowledge of securities rules and regulations
Intermediate knowledge of firm business models, business lines, customer bases, products, and services
Basic knowledge of U.S. GAAP accounting standards
Strong written and verbal communication abilities
Intermediate financial analysis and research capabilities
Intermediate-to-advanced proficiency in analyzing internal and external data to assess firm risks and develop regulatory responses
Ability to manage multiple complex, concurrent assignments with autonomy
Intermediate proficiency in Microsoft Excel and Microsoft Word
Strong quantitative, analytical, and problem-solving skills with the ability to synthesize large volumes of information
Proven ability to engage effectively with senior management and collaborate across departments and locations

Nice-to-haves

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

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.
As part of its dedication to employee wellness, FINRA provides 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.
FINRA offers 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 benefits that support employee wellness, 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); and childbirth and parental leave (available after 90 days of employment).
Full-time employees receive nine paid holidays.

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