Key skills
LeadershipCommunication
About this role
Role Overview
- Conduct sophisticated risk monitoring of member firms, including complex or elevated-risk organizations, with minimal supervision
- Analyze regulatory developments and market trends, translating them into actionable recommendations for senior leadership
- Partner with internal departments to identify, communicate, and address emerging risks across the financial industry
- Coach and develop junior risk monitoring staff, sharing your expertise and fostering a culture of excellence
- Take leadership roles in special projects and technology initiatives that advance FINRA's risk monitoring capabilities
- Coordinate with specialists across the organization to deliver comprehensive risk assessments
Requirements
- Bachelor's degree in Finance, Accounting, Business, or related field (or equivalent combination of education and experience)
- Proven analytical experience in the financial services industry
- Demonstrated ability to interpret and apply regulatory developments to complex business models
- Direct experience addressing one or more key industry risks, such as: Fraud and Deception, Money Laundering, and Market Risk
- 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
- Intermediate-to-Advanced proficiency in Microsoft Excel and Word
- Intermediate written and verbal communication skills
- Strong financial analysis and research capabilities
- Intermediate-to-Advanced quantitative and analytical problem-solving abilities
- Proven ability to manage multiple complex, unstructured assignments simultaneously with autonomy and sound judgment
- Self-starter mentality with ability to work independently and make informed decisions
- Intermediate-to-Advanced ability to analyze diverse data sources to assess member firm risks and develop targeted regulatory responses
- Effective collaborator who builds relationships with senior business leaders across departments and locations
- Proactive and solutions-oriented approach to challenges
- Innovative mindset energized by the open exchange of ideas
- Skilled at accumulating, organizing, and synthesizing large volumes of information
Benefits
- comprehensive health, dental and vision insurance
- basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life insurance
- short
- and long-term disability
- long-term care
- business travel accident insurance
- tuition reimbursement
- commuter benefits
- adoption assistance
- backup family care
- surrogacy benefits
- employee assistance programs
- wellness programs
- generous time-off program of 15 days of paid time off
- 5 personal days
- 9 sick days
- two volunteer service days
- military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections
- childbirth and parental leave