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.

Title: Senior Loss Control Specialist Location: Anoka United States Full time Job Description: Hiring range: $64,480 to $77,355 ($31.00 to $37.19 per hour). Starting rate will depend on experience, education, and qualifications. Advancement opportunities exist for individuals motivated to move up within Anoka County. Come join our team at Anoka County where you can serve your community while enjoying the benefits of work-life balance! This includes 24 days paid of flexible time off and up to 12.5 holidays your first year. Position Description The Anoka County Compliance and Risk Management Department's mission is preserving assets with governance, integrity, and care. The department has an immediate opening for a Senior Loss Control Specialist. The Senior Loss Control Specialist develops policies and procedures for a comprehensive risk management program that seeks to reduce or eliminate the possibility that a loss will occur and/or reduce or eliminate the severity of those that do occur. This position is responsible for planning, implementing and overseeing Risk Management programs specifically related to the Safety and Health of employees and patrons, OSHA compliance, and property, auto and liability risks. This role focuses on occupational safety and insurance‑based risk management. This is a full-time, non-exempt, hybrid position. Interviews will take place the week of April 6th, 2026 for those selected to move forward in the hiring process. Pay & Benefits - Salary: $64,480 to $77,355 ($31.00 to $37.19 per hour). - 2024 Anoka County Salary Schedule Grade 32: $64,480 to $90,230 ($31.00 to $43.38 per hour). - 24 days of paid flexible time off and up to 12.5 paid holidays. - Comprehensive insurance, including medical, dental, vision, flex benefits and more - Medical and dental clinic exclusive to employees, located at the Anoka County Government Center. - Pension plan and other retirement investment options. - Advancement/professional development opportunities. Work Location - This position will work at Anoka County Government Center located at 2100 3rd Avenue, Anoka MN 55303 - This position may be eligible for flexible work arrangements, including hybrid work, with some days working remotely and some days working in the office. - Expected work hours are Monday - Friday 8:00 a.m. - 4:30 p.m. Job Duties and Responsibilities These examples are not all inclusive and are intended to be illustrative of primary responsibilities of an Anoka County Senior Loss Control Specialist: - Implement and monitor risk management programs, policies, and procedures that meet OSHA and other applicable requirements. - Conducts workplace audits to recognize, assess, and control hazards, and works with department leaders and employees to minimize occupational health and safety risks. - Evaluate procedures, facilities and equipment by conducting inspections to identify unsafe conditions and to implement safeguards and solutions to reduce or eliminate the risk. - Ensure Anoka County complies with all current regulations, such as OSHA, EPA, ADA, etc., and that all employees are aware of safety requirements and are prepared to follow safety procedures. - Conduct training programs for various regulations and OSHA requirements. - Evaluate, investigate, and resolve employee safety and health concerns or accommodations. - Support, train, trend accidents, recommend corrective action, address departmental safety issues and set health and safety goals through safety committee oversite. Identify and recommend contract insurance requirements to protect the interest of the County. - Provide leadership, coaching, and/or mentoring to a subordinate group. - Provide technical advice, information, and support to all County managers on risk management issues. - Supports Building Emergency Response activities including drills and training of, emergency response teams, and employees. Qualifications and Requirements: Minimum Knowledge, Skills, and Abilities Needed - Requires a bachelor's degree and at least 4 years of job-related experience - In lieu of the required education, an equivalent combination of education and experience may be substituted on a year-for-year basis Preferred Knowledge, Skills, and Abilities Needed - Degree in Industrial Safety, Insurance, Risk Management or related field - Ability to analyze, develop and interpret rules, regulations, policies and practices - Strong verbal and written communication skills Physical Demands and Work Conditions - Standard office environment and occasionally working in the field - Vision abilities required by this job include close vision, distance vision, and the ability to adjust focus, such as to work on computers. Ability to see colors, shades, and brightness - Hearing abilities required for general and phone communication, signals, and machine sounds - Assignments are ambulatory, occasionally alternating between sitting, standing, walking, crouching, and kneeling as required to perform job responsibilities. Frequent wrist and finger manipulation to complete computer work. May require working in uneven terrain or different weather conditions. - Occasional lifting of 10-30 lbs. - Equipment used includes computers, phones, air monitoring equipment, sound meters, respirator fit testing equipment, and standard office equipment. - Occasional travel to other county work sites as needed. Travel between work sites may require driving a county vehicle and/or a personal vehicle - Reasonable accommodation may be made to enable qualified individuals with disabilities to perform essential job functions

• Lead and advise teams through the full NIST Risk Management Framework (RMF) lifecycle—Prepare, Categorize, Select, Implement, Assess, Authorize, and Monitor. • Serve as the go-to Subject Matter Expert (SME) on RMF concepts, requirements, and agency-specific adaptations of RMF • Develop, review, and maintain RMF artifacts and authorization package documentation • Coordinate and/or perform security control assessment activities • Partner with system owners, engineers, ISSOs/ISSMs, assessors, and governance stakeholders • Track remediation and risk posture over time • Maintain RMF records in approved repositories and GRC tooling • Facilitate working sessions and communicate clearly with both technical and non-technical audiences.

Employee Applicant Privacy Notice Who we are: Shape a brighter financial future with us. Together with our members, we’re changing the way people think about and interact with personal finance. We’re a next-generation financial services company and national bank using innovative, mobile-first technology to help our millions of members reach their goals. The industry is going through an unprecedented transformation, and we’re at the forefront. We’re proud to come to work every day knowing that what we do has a direct impact on people’s lives, with our core values guiding us every step of the way. Join us to invest in yourself, your career, and the financial world. The role: We are seeking a seasoned credit risk leader to develop, oversee, and continuously improve the risk governance framework for Small Business Banking products. This leadership position requires a strategic thinker with extensive experience in credit risk, small business banking and money movement, a solid understanding of FinTech operations, and the ability to lead a high-performing team. The successful candidate will collaborate closely with cross-functional teams to ensure the continued success of our credit risk strategy.This role will establish and maintain risk policies, controls, reporting, and oversight mechanisms that ensure sustainable growth, regulatory compliance, and robust risk management across all small business banking products, including lending products. What you'll do: Risk Governance & Framework Development - -Design, implement, and maintain a comprehensive risk governance framework for Small Business Banking - Provide oversight across risk types for all product and feature launches as well as partner with 1LOD risk owners on ensuring we are appropriately identifying, monitoring, and mitigating risks as part of our framework programs as we scale and grow this business. - Oversee credit risk policies, underwriting standards, credit guidelines, and portfolio management procedures. - Establish governance routines including reporting to risk committees - Challenge and validate new account strategies to minimize risk. - Assist with regulator/auditor requests and remediation plans. Portfolio Risk Management - Monitor portfolio performance, early warning indicators, and key risk metrics; ensure issues are escalated promptly. - Analyze macroeconomic data for business impact forecasts, trend analysis, and stress scenarios viability. - Recommend strategy adjustments based on performance results, market conditions, and regulatory developments. What you'll need: - 10+ years of experience in credit risk management, underwriting, or risk governance in Small Business Lending or adjacent commercial/small-ticket lending segments. - Deep understanding of small-business banking and credit products, including term loans, lines of credit, SBA loans, merchant cash products, checking or embedded finance. - Strong knowledge of regulatory frameworks (ECOA, Fair Lending, UDAAP, SBA SOPs) and portfolio risk management practices. - Experience specifically with stress testing, model analytics, benchmarking, and review/challenge functions. - Demonstrable ability to provide robust oversight, review, and challenge of risk management processes, portfolio risk reports, and credit data. - Comprehensive understanding of credit analysis, counterparty risk, risk measurements, and portfolio stress testing. Knowledge of scenario design, sensitivity shocks, macroeconomic variables, and the risk identification process. Proficiency in using risk management tools and exposure monitoring processes. - Exceptional analytical, communication, and executive presence skills. Compensation and Benefits The base pay range for this role is listed below. Final base pay offer will be determined based on individual factors such as the candidate’s experience, skills, and location. To view all of our comprehensive and competitive benefits, visit our Benefits at SoFi page! SoFi provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth and related medical conditions, breastfeeding, and conditions related to breastfeeding), gender, gender identity, gender expression, national origin, ancestry, age (40 or over), physical or medical disability, medical condition, marital status, registered domestic partner status, sexual orientation, genetic information, military and/or veteran status, or any other basis prohibited by applicable state or federal law.The Company hires the best qualified candidate for the job, without regard to protected characteristics.Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.New York applicants: Notice of Employee RightsSoFi is committed to an inclusive culture. As part of this commitment, SoFi offers reasonable accommodations to candidates with physical or mental disabilities. If you need accommodations to participate in the job application or interview process, please let your recruiter know or email accommodations@sofi.com.Due to insurance coverage issues, we are unable to accommodate remote work from Hawaii or Alaska at this time.Internal Employees If you are a current employee, do not apply here - please navigate to our Internal Job Board in Greenhouse to apply to our open roles.