• Lead and develop a global team of private markets risk and data analytics professionals, setting high analytical standards, review standards, and best practices. • Own the processing of large volumes of data to identify trends in performance; empowering investment recommendations, client reporting, and market-wide analysis. • Design, evolve and refine risk and analytics models and frameworks in partnership with asset class research teams, including anomaly detections, scenario analysis and stress testing. • Partner with Aksia’s clients to understand and address their risk and analytics needs. • Monitor areas of potential risk for Aksia’s products, including diversification testing, investment guidelines, and underperforming investments. • Engage with GPs to enhance data quality and coverage. • Collaborate with Technology and Data teams to further develop Aksia’s internal databases and analytics platforms on improved usage of collected data.

Role Description Our client is seeking an experienced Senior DE Underwriter to join a growing California-based mortgage lender. This position is fully remote but requires residency in the state of California. The ideal candidate will have a strong underwriting background across both Agency and FHA products, an active Direct Endorsement (DE) certification, and the ability to analyze complex borrower profiles including self-employed income and alternative documentation loans. - Underwrite and issue loan decisions for Fannie Mae, Freddie Mac, and FHA mortgage loans. - Analyze personal and business tax returns, income, assets, credit, and collateral. - Evaluate WVOE, P&L, Bank Statement, DSCR, and Asset-based documentation. - Ensure loans meet investor and agency compliance standards. - Communicate underwriting decisions and conditions clearly to internal teams. - Collaborate with Account Managers, Loan Officers, and Brokers to resolve conditions quickly. - Maintain accuracy, efficiency, and strong turn times in a high-volume environment. Qualifications - Minimum 5 years of residential mortgage underwriting experience. - Active FHA Direct Endorsement (DE) required (used within past 11 months). - Proficient in Encompass LOS, CoreLogic FraudGuard, and AUS systems (DU, LPA, Total Scorecard). - Strong working knowledge of Agency and FHA guidelines. - Skilled at income calculation for self-employed borrowers. - Experience with Non-QM or alternative documentation loans preferred. - Must be currently employed in the mortgage industry (no gaps exceeding 12 months). - Must reside in California. Requirements - Base Salary: $70,000–$100,000 (based on experience). - Bonus: Monthly eligibility after 2 years (based on funding volume). - Benefits: Health Insurance, SIMPLE IRA (3% match), PTO, 5 sick days. - Schedule: Monday–Friday, 8:30 a.m.–5:30 p.m. PST. - Work Model: Remote – California residents only. - Must utilize own workstation (computer and 2 monitors); employer does not provide equipment. - In-person orientation required for candidates residing within 150 miles of the North Hollywood, CA headquarter location. Benefits - Health Insurance. - SIMPLE IRA (3% match). - PTO. - 5 sick days.

• Support and enhance compliance programs related to privacy, data protection, marketing compliance, AI governance, and broader data management initiatives. • Provide guidance on the collection, use, sharing, retention, and protection of personal data across products, services, and internal business processes. • Assist in the development, maintenance, and continuous improvement of privacy policies, procedures, standards, templates, and related documentation. • Maintain and update Records of Processing Activities (RoPA), working closely with Information Security and operational teams to document new and modified processing activities. • Conduct privacy reviews and assessments as part of supplier onboarding, due diligence, and contract renewal processes. • Support responses to customer privacy and compliance questionnaires, audits, and due diligence requests. • Create and maintain customer-facing privacy documentation, notices, disclosures, and materials explaining our privacy and data protection practices. • Partner with Marketing and Communications teams to ensure compliance with privacy requirements related to websites, cookies, tracking technologies, consent management, and marketing campaigns. • Advise on privacy and compliance considerations for data management, data governance, and information lifecycle initiatives. • Support the negotiation and review of privacy, data protection, confidentiality, and security provisions in customer, supplier, and partner agreements. • Assist with Data Protection Impact Assessments (DPIAs), Legitimate Interest Assessments (LIAs), transfer impact assessments, and other privacy risk assessments. • Monitor developments in global privacy, cybersecurity, AI, and data-related regulations, and help implement necessary updates to policies, processes, and controls. • Collaborate with cross-functional stakeholders to identify privacy risks and develop practical, business-oriented solutions.

Title: Associate Principal Analyst, Risk Monitoring - All Finra Locations Location: New York United States locations New York, NY (Job Posting) Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Rockville, MD (Job Posting) Woodbridge, NJ (Job Posting) time type Full time Job Description: About FINRA FINRA is dedicated to protecting investors and ensuring market integrity. As an independent, not-for-profit organization, we oversee brokerage firms and exchange markets, writing and enforcing rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the United States. Every day, we work to safeguard the investing public against fraud and bad practices, making us a vital force in maintaining trust and fairness in America's financial markets. The Opportunity Join our team as a Risk Monitoring Analyst and play a pivotal role in safeguarding investors and maintaining market integrity. In this dynamic mid-level position, you'll conduct sophisticated risk assessments of FINRA member firms, identify emerging threats to the financial system, and mentor the next generation of regulatory professionals. Working closely with a Risk Monitoring Director, you'll have the opportunity to make a real impact by analyzing complex firm operations, collaborating across departments, and contributing to strategic initiatives that protect millions of investors. What You'll Do - Monitor Complex Firms: Conduct comprehensive risk monitoring of member firms, including those with elevated risk profiles, ensuring thorough oversight and regulatory compliance - Drive Strategic Intelligence: Collaborate across departments to analyze regulatory trends, communicate critical findings, and develop actionable recommendations that shape our supervisory approach - Lead and Mentor: Guide entry-level staff through coaching and mentorship while taking on leadership roles in special projects and technology initiatives - Execute Team-Based Monitoring: Work collaboratively with specialists and cross-functional teams to develop and implement risk-based monitoring strategies for your assigned portfolio - Innovate and Problem-Solve: Tackle unstructured, complex assignments that require independent judgment, creativity, and a solutions-oriented mindset - Embody FINRA Values: Demonstrate our commitment to collaboration, integrity, and excellence in both virtual and in-person settings Required Qualifications Education & Experience: - Bachelor's degree in Finance, Accounting, Business, or related field (or equivalent combination of education and experience) - Proven analytical experience in the financial industry, including the ability to interpret regulatory developments and apply them to complex business models - Demonstrated experience with at least one key industry risk area (e.g., Fraud and Deception, Money Laundering, Market Risk) Knowledge: - 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 Skills: - 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 Microsoft 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 Preferred Qualifications - Graduate degree (MBA or JD) - Relevant industry certifications (e.g., CFA, CFE, CAMS, Series licenses) What Makes You a Great Fit You're proactive, innovative, and energized by collaborative environments where ideas flow freely. You thrive when presented with complex challenges that require both analytical rigor and creative problem-solving. You're passionate about financial regulation and investor protection, and you're excited to contribute to a mission that makes a real difference in people's financial lives. Ready to protect investors and strengthen market integrity? Join us in this rewarding career opportunity where your expertise will help shape the future of financial regulation. Work Environment Enjoy the flexibility of a hybrid work model with defined in-person collaboration requirements, allowing you to balance focused independent work with meaningful team engagement. For work that is performed in Los Angeles and San Francisco, CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate's skill set, level of experience, education, and market considerations. Los Angeles, CA: Minimum Salary $96,600, Maximum Salary $127,814 San Francisco, CA: Minimum Salary $100,800, Maximum Salary $133,372 CO/FL/TX: Minimum Salary $83,900, Maximum Salary $150,300 IL/PA: Minimum Salary $92,400, Maximum Salary $165,300 MA/MD/VA/Washington, DC: Minimum Salary $96,600, Maximum Salary $172,800 NY/NJ: Minimum Salary $96,600, Maximum Salary $180,400 #LI-Hybrid To be considered for this position, please submit an application. Applications are accepted on an ongoing basis. The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required. Please note: If the "Apply Now" button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly. Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs. Time Off and Paid Leave* FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays. - Based on full-time schedule Important Information FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code's investment and securities account restrictions, and new employees must comply with those investment restrictions-including disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice President-by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment. You can read more about these restrictions here. As standard practice, employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company's policy on nepotism. Search Firm Representatives Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA is an Equal Opportunity Employer All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law. FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240-386-4865 or by email at EmployeeRelations@FINRA.org. Please note that this process is exclusively for inquiries regarding accommodations in the application process. FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities. FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans. 2026 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.