Principal Analyst, Risk Monitoring - All FINRA Locations

$106,400 - $200,200/Yr

FINRA - Woodbridge, VA

Full-time - Senior

Woodbridge, VA

Executive, Legislative, and Other General Government Support

About the position

This senior-level position is responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members, reporting directly to a Risk Monitoring Director. The role involves identifying existing and emerging risks, collaborating with internal departments, mentoring junior staff, and leading special projects and technology initiatives. The position requires a proactive approach to risk management and effective communication with various stakeholders.

Responsibilities

• Conduct risk monitoring activities for FINRA members, including complex or elevated risk firms.
• Support the Risk Monitoring Director in identifying existing and emerging risks.
• Collaborate with internal departments to analyze and communicate regulatory intelligence.
• Mentor and coach junior risk monitoring staff.
• Serve in leadership roles for special projects and technology initiatives.
• Coordinate with specialists to execute monitoring against assigned firms' risks.

Requirements

• Bachelor's Degree in Finance, Accounting, Business or related field, or equivalent experience.
• Demonstrated analytical skills and experience in the financial industry.
• Experience with inherent industry risks such as Fraud, Money Laundering, and Market risks.
• Advanced knowledge of FINRA's risk fundamentals and securities regulations.
• Intermediate-to-Advanced proficiency in Microsoft Excel and Word.

Nice-to-haves

• Graduate degree (MBA or JD) and/or relevant industry certifications preferred.
• Ability to engage effectively with senior management and across departments.
• Proactive and solutions-oriented mindset.

Benefits

• Comprehensive health, dental, and vision insurance.
• 401(k) plan with company match and additional FINRA-funded retirement contribution.
• Tuition reimbursement and commuter benefits.
• Generous time-off program including paid time off, personal days, and sick days.
• Paid volunteer service days and various paid leaves including military and bereavement leave.