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Associate Principal Analyst at FINRA - ApplyBlast

Associate Principal Analyst

FINRA

5 days ago

3.8 on Glassdoor

Chicago, Illinois, United States

Hybrid

Full Time

Senior

0 applicants

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About this role

The Associate Principal Analyst identifies risks and develops regulatory strategies to address them while managing teams to achieve strategic goals. This role involves leading the review of complex applications, ensuring regulatory programs align with departmental objectives, and mentoring staff. The position requires strong analytical skills and a deep understanding of securities industry rules and practices.

Responsibilities

Lead and provide guidance on complex regulatory applications and high-risk files
Develop regulatory strategies to address identified risks and manage teams
Mentor staff and develop training content for member regulation programs

Skills

Qualifications

Bachelor's degreeFINRA Securities Industry Essentials (SIE) certification

About FINRA

finra.org

Headquarters

Washington, District Of Columbia, United States

Company Size

1001-5000 employees

Founded

2007

View Profile

FINRA, the Financial Industry Regulatory Authority, is a nonprofit self-regulatory organization that oversees U.S. broker-dealers and securities markets. It works to protect investors and maintain market integrity through regulation, enforcement, licensing, arbitration and mediation services, and market surveillance. FINRA operates in the financial services and securities regulation industry.