Senior Risk Monitoring Analyst - Hybrid, Mentorship

Financial Industry Regulatory Authority, Inc.; Chicago (IL); Hybrid; USD 92,000 - 165,000; Full time

Benefits offered by this job

Health insurance

401(k) plan with company match

Paid time off

Job summary

FINRA is seeking a mid-level Risk Monitoring professional to conduct risk monitoring and ongoing risk assessments for member firms under guidance from a Risk Monitoring Director. You will mentor staff, collaborate with internal teams on regulatory intelligence, and lead special projects with a focus on risk mitigation.

The role emphasizes teamwork, strong analytical skills, and the ability to engage senior management across locations.

Qualifications

• Bachelor's degree in Finance, Accounting, Business or related field; MBA/JD preferred.
• SIE certification required upon hire or within 16 months of start date.
• Strong analytical skills and ability to apply regulatory developments to complex models.

Responsibilities

• Conduct risk monitoring for FINRA member firms, including elevated risk accounts.
• Mentor and coach entry-level risk monitoring staff.
• Collaborate with internal departments to analyze regulatory intelligence and communicate findings.
• Lead special projects and technology initiatives as assigned.
• Perform as part of a team to monitor risks across multiple firm types.

Skills

Risk monitoring

Regulatory intelligence

Financial analysis

Excel

Communication

Team collaboration

Education

Bachelor's degree in Finance/Accounting/Business

MBA or JD preferred

SIE certification (within 16 months)

Tools

Excel

Word

Job description

FINRA is seeking a mid-level Risk Monitoring professional to conduct risk monitoring and ongoing risk assessments for member firms under guidance from a Risk Monitoring Director. You will mentor staff, collaborate with internal teams on regulatory intelligence, and lead special projects with a focus on risk mitigation.

The role emphasizes teamwork, strong analytical skills, and the ability to engage senior management across locations.