The Associate Principal Analyst, Risk Management in Transparency Services performs operational risk assessments and designs controls to mitigate identified risks across business processes. Monitors control effectiveness, partners with operations teams to remediate deficiencies, and supports internal and external audits. Tests operational controls and tracks risk metrics to ensure a robust control environment. This position is an established individual contributor who works under moderate supervision.
Essential Job Functions:- Performs quality control reviews and statistical analysis across multiple team functions to ensure policy compliance and drive continuous improvement through targeted action plans.
- Administers the department's Procedures Portal, including access control, content accuracy, user permissions, update schedules, and check-out/check-in workflows.
- Identifies and documents operational, regulatory, and business risks; perform preliminary risk assessments.
- Conducts control testing per defined test plans; documents results, exceptions, deficiencies, and tracks remediation activities.
- Maintains risk management databases and filing systems, prepares reports, dashboards, and documentation, and conducts trend analysis and ad hoc risk analysis for management.
- Monitors workflow and task completion; responds to internal and external inquiries; escalates complex or sensitive matters appropriately.
- Demonstrates FINRA's values.
- Collaborates in-person and virtually to support investor protection and market integrity.
Other Responsibilities:- Contributes to the development and testing of analytics tools, investigative methodologies, and process improvements that enhance the efficiency and effectiveness of team processes.
- Remains current on industry trends, practices and regulatory impacts.
Education/Experience Requirements:- Bachelor's degree and a minimum of four (4) years of experience in the securities/financial services industry; or an equivalent combination of education and related professional experience.
- Demonstrated experience using Excel to manage large datasets, perform data validation, and generate recurring reports with a high degree of accuracy.
- Ability to extrapolate and analyze data and information is required.
- Demonstrated analytical and critical thinking skills with attention to detail.
- Written and verbal communication skills, including ability to prepare clear, concise reports and presentations for leadership.
- Experience with case management systems and documentation practices preferred.
- Understanding of risk assessment methodologies in a regulatory context preferred.
- Organizational skills with ability to manage multiple projects, deadlines, and priorities simultaneously.
Working Conditions:- Hybrid work environment with defined in-person requirements.
- Hours may extend beyond normal business hours.
#LI-Hybrid
For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate's skill set, level of experience, education, and market considerations.
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
Please note: If the "Apply Now" button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
Time Off and Paid Leave*
FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.
*Based on full-time schedule
