> Markdown version of [/jobs/ext/608815-principal-analyst-risk-monitoring](https://www.wearedevelopers.com/jobs/ext/608815-principal-analyst-risk-monitoring). Every page supports `.md` or `Accept: text/markdown`. Links point to the HTML versions so they work for humans too. Agent guide: [/agents.md](https://www.wearedevelopers.com/agents.md). --- # Principal Analyst, Risk Monitoring - **Company:** Financial Industry Regulatory Authority, Inc. - **Location:** Boston, MA, United States - **Experience:** Expert - **Contract:** Permanent contract - **Skills:** Microsoft Word, Microsoft Excel - **Published:** June 20, 2026 - **Apply:** https://www.indeed.com/viewjob?jk=10a192e97ccb1ea8 ## About the Role Do you have a valid Chartered Financial Analyst certification?, Do you have experience in Writing skills?, Do you have a Bachelor's degree?, Are you a seasoned financial regulatory professional ready to make a meaningful impact? FINRA is seeking a Senior Risk Monitoring Analyst to play a pivotal role in safeguarding the integrity of U.S. securities markets. In this high-impact position, you'll identify emerging risks, assess complex member firms, and collaborate across the organization to protect investors and maintain fair markets., * 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, with 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 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: * Intermediate-to-Advanced proficiency in Microsoft Excel and Word * Intermediate written and verbal communication skills with ability to present complex information clearly * 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 Working Style: * 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 Preferred Qualifications * Graduate degree (MBA or JD) * Relevant industry certifications (e.g., CFA, CAMS, Series licenses) ## Description As a Principal Risk Monitoring Analyst, you'll serve as a trusted advisor and risk expert, reporting directly to a Risk Monitoring Director. Your insights will shape regulatory responses to evolving market risks. Your Core Responsibilities: * Lead Risk Assessments: Conduct sophisticated risk monitoring of member firms, including complex or elevated-risk organizations, with minimal supervision * Drive Strategic Intelligence: Analyze regulatory developments and market trends, translating them into actionable recommendations for senior leadership * Collaborate Across Functions: Partner with internal departments to identify, communicate, and address emerging risks across the financial industry * Mentor Future Leaders: Coach and develop junior risk monitoring staff, sharing your expertise and fostering a culture of excellence * Champion Innovation: Take leadership roles in special projects and technology initiatives that advance FINRA's risk monitoring capabilities * Execute Team-Based Monitoring: Coordinate with specialists across the organization to deliver comprehensive risk assessments * Embody FINRA's Values: Demonstrate commitment to collaboration, innovation, and investor protection in all interactions-both in-person and virtually, FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code's investment and securities account restrictions, and new employees must comply with those investment restrictions-including disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice President-by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment. You can read more about these restrictions here. As standard practice, employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company's policy on nepotism. 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