Senior Analyst, Risk Intelligence & Regulatory Ops

FINRA; New York (NY); Hybrid; USD 117,000 - 211,000; Full time

Job summary

FINRA is seeking an experienced individual contributor in Regulatory Operations, Risk Intelligence Operations Center (RIOC), to transform risk data into coordinated regulatory actions. The role identifies firms, branches, and individuals posing risk, and creates intelligence-driven work plans across Regulatory Operations.

The position requires a Bachelor's degree or equivalent, leadership experience in control-related fields, and SIE certification within 16 months.

Qualifications

• Bachelor's Degree or equivalent required; MBA/JD or relevant certs a plus.
• Experience in accounting, audit, legal, compliance or related fields.
• FINRA SIE certification required upon hire or within 16 months of start date.

Responsibilities

• Analyze multiple regulatory data sources to identify risks across firms, branches, and reps.
• Create and disseminate execution-focused guidance to support regulatory actions.
• Facilitate real-time information sharing across regulatory programs.
• Conduct post-regulatory analysis to validate risk predictions and improve processes.
• Develop and maintain operational metrics and KPIs for senior management.
• Lead cross-functional regulatory tasks across programs.
• Coordinate governance committees and update procedures as needed.
• Cultivate relationships with FINRA, SEC and other stakeholders.

Skills

Leadership

Communication

Project management

Independent work

Stakeholder mgmt

Regulatory knowledge

Education

Bachelor's degree

MBA/JD

SIE certification

Tools

Microsoft Office

Job description

FINRA is seeking an experienced individual contributor in Regulatory Operations, Risk Intelligence Operations Center (RIOC), to transform risk data into coordinated regulatory actions. The role identifies firms, branches, and individuals posing risk, and creates intelligence-driven work plans across Regulatory Operations.

The position requires a Bachelor's degree or equivalent, leadership experience in control-related fields, and SIE certification within 16 months.