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 mid-level position with staff developing in role and reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks.
Conducts risk monitoring for member firms that can include complex or elevated risk firms with guidance and moderate supervision of a Risk Monitoring Director or designee.
Collaborates with internal departmentsto analyze, communicate and make recommendations with respect to regulatory intelligence.
Mentor and coach entry-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.
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).
Knowledge Requirements:
Intermediate knowledge 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.
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.
Developing ability to administer increasingly 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 level proficiency in Microsoft Excel and Microsoft Word.
Intermediate quantitative, analytical, problem solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.
For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidates skill set, level of experience, education, and internal peer compensation comparisons.
CA: Minimum Salary $91,500, Maximum Salary $170,900
CO/HI/MN/VT: Minimum Salary $79,500, Maximum Salary $142,300
IL: Minimum Salary $87,500, Maximum Salary $156,600
Jersey City, NJ/NY, NY: Minimum Salary $95,400, Maximum Salary $170,900
MD/Washington, DC: Minimum Salary $91,500, Maximum Salary $163,700
WA: Minimum Salary $79,500, Maximum Salary $163,700
Including positions performed outside the state but reporting to an office or manager in that state.
Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.
#LI-Hybrid
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.
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Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits.
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...

Equal Opportunity Employer - minorities/females/veterans/individuals with disabilities/sexual orientation/gender identity