Principal Analyst Risk Monitoring

Profile

Principal Analyst, Risk Monitoring

Duties: The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. Collaborates with internal departments to analyze, communicate and make recommendations with respect to regulatory intelligence. Mentors and coaches more junior level risk monitoring staff. Serves in leadership roles related to special projects and technology initiatives. Performs as part of a team conducting monitoring (including coordination with specialists) to execute against risks of assigned firms.

Additional Information

Job requisition ID: R-005448

Company info

FINRA.
300 South Grand Avenue 16th Floor
Los Angeles
California
United States 90071
Website : http://www.finra.org