Regulatory Risk Lead — Associate Principal Analyst

Financial Industry Regulatory Authority, Inc.; Rockville (MD); Hybrid; USD 97,000 - 173,000; Full time

Benefits offered by this job

Health, dental and vision insurance

401(k) with company match

Paid time off 15–25 days

Wellness programs

Job summary

Financial Industry Regulatory Authority, Inc. seeks an Associate Principal Analyst to identify regulatory risks, craft strategies, and lead teams toward strategic goals. The role involves guiding complex applications, mentoring staff, and presenting at internal trainings and meetings.

The incumbent will apply knowledge of securities rules, industry practices, and risk analysis to deliver high-quality, timely regulatory analyses and recommendations.

Qualifications

• Bachelor’s degree or equivalent required.
• 5+ years in securities, compliance or financial regulatory experience.
• FINRA SIE certification required within 16 months of hire or during training cohort.

Responsibilities

• Lead or participate in files received by MAP, including complex/high risk applications.
• Mentor and coach staff; participate in trainings and peer/quality reviews.
• Lead meetings with member firms and contribute to in-house training content.
• Ensure regulatory programs align with FINRA’s mission and operate efficiently.

Skills

Risk identification

Regulatory strategy

Team leadership

Issue spotting

Critical thinking

Interviewing

Research

Quantitative skills

Securities products knowledge

Education

Bachelor’s degree

FINRA SIE certification

Job description

Financial Industry Regulatory Authority, Inc. seeks an Associate Principal Analyst to identify regulatory risks, craft strategies, and lead teams toward strategic goals. The role involves guiding complex applications, mentoring staff, and presenting at internal trainings and meetings.

The incumbent will apply knowledge of securities rules, industry practices, and risk analysis to deliver high-quality, timely regulatory analyses and recommendations.