Principal Regulatory Risk & Compliance Analyst

Socket.dev; Philadelphia (Philadelphia County); On-site; USD 108,000 - 194,000; Full time

Benefits offered by this job

Health insurance

401(k) with company match

Paid time off

Job summary

FINRA is seeking a Principal Analyst to identify risks, develop regulatory strategies, and collaborate with internal and external stakeholders to advance investor protection and market integrity. The role emphasizes risk analysis, regulatory response development, and effective communication.

The position requires a strong background in securities industry rules, plus SIE certification within 16 months. Hybrid work with travel is expected, and compensation varies by location per FINRA pay scales.

Qualifications

• Bachelor’s degree in Accounting, Finance, or related field.
• Minimum of six years of directly relevant experience.
• Advanced knowledge of business conduct risk and securities industry rules.
• Crypto assets knowledge highly preferred.
• Strong knowledge of securities products and member firms.
• Excellent communication and presentation skills; strong time management.

Responsibilities

• Lead or participate in MAP applications, providing guidance and advice.
• Identify notable trends in industry practice, products, and procedures.
• Complete assignments in a timely manner as mandated by the department or rules.
• Ensure regulatory programs align with department goals and FINRA’s mission.
• Lead and participate in meetings with firms with minimal supervision.
• Proactively identify ideas for internal training.
• Present subject matter material for FINRA internal programs.
• Demonstrate FINRA’s values.
• Collaborate with internal and external stakeholders to advance investor protection and market integrity.
• Support MAP management in reviews of staff work and special projects.
• Assist in developing course content and advising Regulatory Operations training.

Skills

Risk analysis

Regulatory strategy

Stakeholder engagement

Quantitative skills

Communication

Education

Bachelor’s degree

Job description

FINRA is seeking a Principal Analyst to identify risks, develop regulatory strategies, and collaborate with internal and external stakeholders to advance investor protection and market integrity. The role emphasizes risk analysis, regulatory response development, and effective communication.

The position requires a strong background in securities industry rules, plus SIE certification within 16 months. Hybrid work with travel is expected, and compensation varies by location per FINRA pay scales.