Senior MAP Regulatory Risk & Strategy Analyst

FINRA; Philadelphia (Philadelphia County); Hybrid; USD 108,000 - 194,000; Full time

Benefits offered by this job

Health, dental and vision insurance

401(k) with company match

Tuition reimbursement

Commuter benefits

Wellness programs

Adoption assistance

Backup family care

Surrogacy benefits

Job summary

FINRA is seeking a Principal Analyst to identify risks, build regulatory strategies, and engage internal and external stakeholders to support investor protection and market integrity.

The position requires a minimum of six years of relevant experience, a Bachelor's degree in a related field, strong securities knowledge including crypto assets, and a FINRA SIE certification (or equivalent) within 16 months. The role is hybrid with travel expectations, offering robust benefits and career growth.

Qualifications

• Bachelor’s degree or equivalent required; major in Accounting, Finance, or related field preferred.
• Minimum of six years of directly relevant experience.
• Advanced knowledge of business conduct risk and securities rules; crypto assets knowledge highly preferred.
• Strong analytical and risk identification abilities; track record in developing regulatory responses.
• Excellent oral and written communication and presentation skills.
• SIE certification required within 16 months of hire.

Responsibilities

• Lead or participate in MAP applications and advise on high-risk cases.
• Identify notable trends in industry practice, products, and procedures.
• Complete assignments timely to department/regulatory deadlines.
• Ensure programs align with FINRA’s mission and risk management goals.
• Lead meetings with firms with minimal supervision.
• Develop ideas for internal training and present content.
• Collaborate with internal and external stakeholders to advance FINRA's mission of investor protection and market integrity.
• Support MAP management in reviews and assist on MAP-related projects and training content development.

Skills

Regulatory risk analysis

Communication skills

Presentation skills

Crypto assets knowledge

Securities knowledge

Education

Bachelor's degree in Accounting/Finance/Business

FINRA SIE certification

Job description

FINRA is seeking a Principal Analyst to identify risks, build regulatory strategies, and engage internal and external stakeholders to support investor protection and market integrity.

The position requires a minimum of six years of relevant experience, a Bachelor's degree in a related field, strong securities knowledge including crypto assets, and a FINRA SIE certification (or equivalent) within 16 months. The role is hybrid with travel expectations, offering robust benefits and career growth.