Senior Risk Intelligence Analyst, Regulatory Operations

Financial Industry Regulatory Authority, Inc.; New York (NY); Hybrid; USD 117,000 - 211,000; Full time

Benefits offered by this job

Discretionary bonus

Health insurance

401(k) retirement plan

Paid time off

Job summary

Financial Industry Regulatory Authority, Inc. seeks an experienced individual contributor in Regulatory Operations to transform risk data into coordinated regulatory action across RIOC.

You will help focus FINRA resources on the threats that matter most by identifying high-risk firms, branches, and individuals and developing intelligence-driven work plans for Regulatory Operations programs.

Qualifications

• Bachelor's Degree or equivalent combination of education and experience.
• MBA or JD and/or relevant industry certification a plus.
• FINRA SIE certification required within 16 months of hire.

Responsibilities

• Analyze multiple regulatory data sources to identify and assess risks across firms, branches, and registered representatives.
• Lead creation and dissemination of execution-focused guidance to support regulatory actions across programs.
• Coordinate real-time information sharing across Regulatory Operations programs.

Skills

Interpersonal skills

Negotiation

Leadership

Communication

Project management

Autonomy

Organizational skills

Education

Bachelor's Degree or equivalent

MBA or JD (plus)

SIE certification

Job description

Financial Industry Regulatory Authority, Inc. seeks an experienced individual contributor in Regulatory Operations to transform risk data into coordinated regulatory action across RIOC.

You will help focus FINRA resources on the threats that matter most by identifying high-risk firms, branches, and individuals and developing intelligence-driven work plans for Regulatory Operations programs.