Strategic Intelligence is a team within FINRA’s Risk & Intelligence organization that provides strategic and tactical intelligence impacting member firms, investors, and the financial markets, translating into better, more informed, and timely regulatory decisions. The Strategic Intelligence team supports FINRA’s Regulatory Programs by identifying, analyzing, and assessing emerging risks and trends, and generating insights through finished intelligence products. The Senior Principal Intelligence Specialist will have extensive knowledge of and expertise in intelligence disciplines and is expected to utilize an expanded skillset related to the mission of Strategic Intelligence including, but not limited to, the collection, analysis, processing, and dissemination of intelligence. This position will require building and maintaining effective relationships internally with subject matter experts across FINRA’s regulatory programs and externally with member firms, law enforcement, and other government intelligence partners in support of both Strategic Intelligence and FINRA’s missions.
The Financial Crimes Intelligence (FCI) team is a specialized function within Strategic Intelligence focused on advancing FINRA’s understanding of emerging risks and threats related to financial crimes impacting member firms, investors, and the financial markets.
The Senior Principal Intelligence Specialist executes functions in support of the Strategic Intelligence mission including the following:
- Serve as a partner tointernal stakeholders, working with subject matter experts across departments to identify emerging threats and drive intelligence-driven initiatives.
- Proactively and independently identify, analyze, and predict emerging risks, threats, regulatory trends, and critical events impacting member firms, investors, and the financial markets. Contribute to the development of strategies around mitigating risks and threats.
- Independently establish and maintain partnerships and networks with internal and external stakeholders to understand intelligence priorities.
- Independently develop and maintain intelligence frameworks, collection strategies, and standards to ensure timely delivery of actionable intelligence to appropriate stakeholders across the enterprise and externally.
- Independently develop intelligence products, assessments, briefings, and communications that translate complex intelligence into actionable insights for senior leadership, regulatory staff, and external stakeholders.
- Independently identify and help implement ongoing and significant improvements to intelligence processes, frameworks, and programs to enhance the effectiveness of Strategic Intelligence's mission.
- Conduct tasks related to member firm/investor intelligence sharing, which include, but are not limited to, participating in conference panels, working groups, and roundtables.
- Conduct tasks related to FINRA staff training and intelligence sharing that may include, but are not limited to, training events, podcasts, workshops, or live webinars.
- Demonstrate FINRA’s values.
- Collaborate, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
Education/Experience Requirements:- Bachelor’s degree and minimum of eight (8) years of experience, or equivalent combination of education and relevant experience required; advanced degree in intelligence studies, public policy, business, or law preferred.
- Previous experience working at a broker-dealer or other type of financial institution or at a government agency or department with a focus on intelligence preferred.
- Proven knowledge and advanced expertise performing advanced and high-complexity intelligence functions representing the full intelligence cycle.
- Proven experience applying highly advanced analytical and strategic thinking skills to assess complex risks and threats impacting stakeholders.
- Proven track record of making meaningful improvements to intelligence processes or products.
- Strong knowledge of FINRA rules and the federal securities laws is preferred.
- Strong knowledge of the securities markets and member firm operations is preferred.
- Highly advanced and effective written and verbal communication and interpersonal skills, including building and managing relationships with internal and external stakeholders.
- Highly advanced organizational skills with exceptional attention to detail.
- Expert proficiency using computer programs with the full suite of Office software applications.
Work Conditions:- Hybrid work environment, with defined in-person presence requirements.
- Extended hours and travel as needed.
For work that is performed in Los Angeles and San Francisco, CA, CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA 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: $140,000 - $211,000
San Francisco, CA: $147,000 - $220,000
Boston, MA: $131,200 - $238,300
Chicago, IL: $125,900 - $228,000
Denver, CO: $114,200 - $207,200
Jericho, NY: $131,200 - $238,300
Jersey City, NJ: $137,000- $248,700
Philadelphia, PA: $125,900 - $228,000
New York, NY: $137,000 - $248,700
Rockville, MD: $131,200 - $238,300
Tysons, VA: $131,200 - $238,300
Washington, DC: $131,200 - $238,300
Woodbridge, NJ: $131,200 - $238,300
Connecticut State: $114,200 - $248,700
Washington State: $114,200 - $248,700
#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 starting at 15 days of paid time off (increasing with years of service, up to 25 days), 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
