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Principal Analyst, Risk Monitoring - Medium Diversified - Any FINRA Location

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Financial Industry Regulatory AuthorityDallas, TX
  • Associated topics: analysis, analyze, bi, business finance, examiner, financial analyst, financial reporting analyst, investment analyst, investment analytics, investment banking
  • 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.
  • Demonstrated experience relating to all inherent industry risks (i.e., Operational, Sales Practice, Fraud and Deception, Money Laundering, Accuracy of Regulatory Capital, Credit, Market, Liquidity, and/or Segregation of Client Assets).
  • In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match.
  • Bachelor's Degree in Finance, Accounting, Business or related field(s), graduate degree (MBA or JD) and/or relevant industry certification(s) preferred
  • FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
  • Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.
  • If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.
Expired 1 month agoInactive Job

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