Principal Analyst, Regulatory Operations, Risk Intelligence

FINRA

. Analyze multiple regulatory data sources, including complaints, examination findings, financial data, market surveillance patterns, tips, and intelligence, to identify and assess risks across firms, branches, and registered representatives .

Posted 11/3/2026full-timeUnited StatesLead💰 $97,700 - $211,400 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates strong expertise in regulatory analysis and risk assessment within the securities industry, with a focus on effective communication and leadership in cross-functional environments. Proficient in developing operational metrics and fostering relationships with regulatory bodies and stakeholders.

Highest-signal resume keywords

Regulatory AnalysisRisk AssessmentLeadership SkillsSecurities Industry KnowledgeMicrosoft Office Proficiency

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Risk IdentificationOperational Metrics DevelopmentPost-Regulatory Work AnalysisExecution-Focused Guidance CreationCross-Functional Task Execution

Soft Skills

Interpersonal SkillsNegotiation SkillsProblem-Solving SkillsOrganizational SkillsPresentation Skills

Certifications & Qualifications

FINRA Securities Industry Essentials (SIE) CertificationRelevant Industry Certification

Industry Keywords

Regulatory ComplianceGovernance CommitteesFINRASECMarket Surveillance

About the role

Key responsibilities & impact

Analyze multiple regulatory data sources, including complaints, examination findings, financial data, market surveillance patterns, tips, and intelligence, to identify and assess risks across firms, branches, and registered representatives
Create and disseminate execution-focused guidance and content supporting consistent and effective regulatory actions
Facilitate real-time information sharing across regulatory programs
Conduct post-regulatory work analysis comparing predictions with actual outcomes to validate and improve risk identification
Develop and maintain operational metrics and provide insight into key performance and key risk indicators for senior management
Execute cross-functional regulatory tasks and processes benefiting multiple programs
Facilitate departmental-wide meetings to communicate updates and train staff on changes to processes, tools, controls, technology, policies and procedures
Assess procedures, recommend updates, and coordinate efforts to identify, prioritize and resolve inconsistent procedural application
Participate in and lead applicable Governance Committees
Maintain advanced working knowledge of departmental functions and industry developments
Cultivate relationships across Regulatory Operations, FINRA, and external stakeholders including the SEC, states, other regulatory agencies, and the industry
Partner with external stakeholders and senior leaders on strategic objectives and issue remediation
Lead special projects and ad hoc initiatives
Coach junior colleagues in techniques, processes, and responsibilities
Model inspirational, accountable and supportive leadership; develop and empower talent; foster an inclusive culture and employee engagement
Collaborate in person and virtually in furtherance of FINRA’s investor protection and market integrity mission

Requirements

What you’ll need

Bachelor's Degree or an equivalent combination of education and experience required
Major in Accounting, Finance, Economics, or Business Administration is a plus
Graduate degree (MBA or JD) is a plus
Relevant industry certification(s) are a plus
Demonstrated leadership skills within accounting, audit, legal, compliance or related field(s)
FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification required upon hire or within 16 months of the start date of the assigned SIE training cohort
Demonstrated strong/expert working knowledge of securities industry rules, regulations and related guidelines based on prior work experience
Proficiency in Microsoft Office suite of applications
Excellent interpersonal, negotiation, diplomacy, written, verbal, presentation, leadership, project management, organizational and problem-solving skills
Ability to establish and maintain effective working relationships at all levels inside and outside the organization
Ability to administer multiple complex and unstructured assignments concurrently with autonomy and independent judgment
Ability to work independently
Must demonstrate FINRA’s values
Must comply with FINRA’s Code of Conduct, investment restrictions, financial disclosure requirements, Employee Confidentiality and Invention Assignment Agreement, and nepotism policy

Benefits

Comp & perks

Discretionary bonus may be available in addition to base pay
Comprehensive health, dental and vision insurance
Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment insurance
Short- and long-term disability insurance
Long-term care insurance
Business travel accident insurance
Legal insurance
Immediate participation and vesting in a 401(k) plan with company match
Eligibility for an additional FINRA-funded retirement contribution
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance
Wellness programs
15 days of paid time off, increasing with years of service up to 25 days
5 personal days
9 sick days
2 volunteer service days
Military leave
Jury duty leave
Bereavement leave
Voting and election official leave
Care of a family member leave after 90 days of employment
Childbirth and parental leave after 90 days of employment
Nine paid holidays for full-time employees
Hybrid work environment