Associate Broker in Minneapolis Construction team supporting client risks for insurance solutions. Engaging in broking activities and collaborating with senior team members for optimal solutions.
About the role
- Risk Monitoring Analyst at FINRA conducting risk assessments and mentoring regulatory professionals to maintain market integrity. Collaborating on strategic initiatives that protect investors.
Responsibilities
- Conduct comprehensive risk monitoring of member firms
- Collaborate across departments to analyze regulatory trends and develop actionable recommendations
- Guide entry-level staff through coaching and mentorship
- Work collaboratively with specialists and cross-functional teams to implement risk-based monitoring strategies
- Tackle unstructured, complex assignments requiring independent judgment and creativity
- Demonstrate commitment to collaboration, integrity, and excellence.
Requirements
- Bachelor's degree in Finance, Accounting, Business, or related field (or equivalent combination of education and experience)
- Proven analytical experience in the financial industry
- Demonstrated experience with at least one key industry risk area (e.g., Fraud and Deception, Money Laundering, Market Risk)
- Intermediate understanding of FINRA's risk fundamentals
- Intermediate knowledge of securities rules and regulations
- Intermediate knowledge of firm business models, business lines, customer bases, products, and services
- Basic knowledge of U.S. GAAP accounting standards
- Strong written and verbal communication abilities
- Intermediate financial analysis and research capabilities
- Intermediate-to-advanced proficiency in analyzing internal and external data to assess firm risks and develop regulatory responses
- Ability to manage multiple complex, concurrent assignments with autonomy
- Intermediate proficiency in Microsoft Excel and Word
- Strong quantitative, analytical, and problem-solving skills with the ability to synthesize large volumes of information
- Proven ability to engage effectively with senior management and collaborate across departments and locations
Benefits
- Comprehensive health, dental and vision insurance
- Basic life, accidental death and dismemberment, and supplemental life insurance
- Short- and long-term disability insurance
- Long-term care insurance
- Business travel accident insurance
- Immediate participation and vesting in a 401(k) plan with company match
- Additional FINRA-funded retirement contribution
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance programs
- Wellness programs
- 15 days of paid time off
- 5 personal days
- 9 sick days
- 2 volunteer service days
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Senior vendor/contract manager driving contract ownership, compliance, and performance across technology landscape at ING. Shaping future of technology strategy and vendor collaboration within a collaborative team culture.
Senior vendor/contract manager driving contract ownership and compliance across technology landscape at ING. Collaborating with CIOs and stakeholders to align contracts with strategic goals.
Manager for High Risk Client Management supporting risk decisions at RBC. Conducting risk assessments and ensuring regulatory compliance amid financial services operations.
Head of Risk & Audit overseeing technology risk management and assurance for digital banking. Collaborating with teams on compliance, resilience, and automation in technology risk monitoring.
Head of Risk Advisory leading operational risk initiatives and team at Rabobank, a global food & agribusiness bank headquartered in the Netherlands.
Operational Resilience Risk Manager at Rabobank, focusing on resilience against financial disruptions. Collaborating with teams to enhance operational stability, customer trust, and compliance with regulatory standards.
Solicitor/Associate in Corporate Risk litigation team managing high value claims for well - known corporate clients. Involves drafting legal documents, attending court, and supporting junior staff in a hybrid work setting.
Vice President, Risk Reporting 2nd Line of Defense Lead Analyst at Citi overseeing risk management analytics. Design and implement comprehensive reporting for credit risk management.
Risk Adjustment Campaign Associate overseeing projects related to Medicare Advantage and Commercial risk adjustments. Collaborating within a caring team at Cambia to improve healthcare.