In support of Regulatory Operations strategic activities, provides overall business management and knowledge discovery for all phases of surveillance strategic and analytical development efforts including thorough knowledge of functions and practices, industry standards and knowledge of technology relative to Regulatory Operations and enterprise environments. The senior principal strategic research analyst is responsible for participating and/or the leadership, design and implementation of complex data driven solutions specifically relating to high value and priority regulatory matters resulting from both internal and external sources and surveillance programs. This position will work regularly with senior level staff in conducting and presenting the results of the regulatory related analyses. The senior principal strategic research analyst is expected to independently work and use highly specialized statistical techniques and cutting edge machine learning approaches in the course of their work. The senior principal strategic research analyst will propose and build scalable technical solution frameworks that have applicability for both single domain and multi-domain usages. The role will be expected to use programming paradigms and techniques that can generate insights from multi-terabyte distributed datasets. The senior principal strategic research analyst is expected to identify and share insights resulting from their work that can be used to improve existing and future surveillance program. The role is expected to generate and provide recommendations pertaining to the use and procurement of strategic datasets that can assist investigatory and surveillance functions and program. The senior principal strategic research analyst will work closely with team members on identifying and taking advantage of trends in the regulatory, data, analytic and machine learning domains.
Essential Job Functions:
- Participate in and/or lead efforts in the strategic design of quantitative multi-market and multi-product investigatory solutions for processing output and referrals resulting from market manipulation and market conduct rule violations leveraging large volumes of multi-domain data.
- Provide clear and concise written and visual artifacts supporting analysis performed to senior personnel.
- Participate in and/or lead efforts in the enhancements and envision the evolution of the surveillance investigatory program in response to market trends and developments.
- Provide efficient quantitative support for market studies, examinations, and ongoing investigations.
- Identify areas and problems within the MRD business domains that can be solved with Machine Learning solutions.
- Assist in performing regulatory impact assessments of the industry’s, FINRA’s, and RSA clients’ initiatives on the Cross-Market and SRO-specific programs.
- Adapt MRD’s investigatory, referral and examination program to new rules and initiatives.
- Support management and others to inform internal and external constituents on overall program vision, strategy, operations, processes, and implementation status.
- Support the comprehensive and successful execution of the team’s programs in an efficient and effective manner.
- Participate in and/or lead efforts in ad hoc special projects and national initiatives, as requested.
- Demonstration of FINRA’s values.
- Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
Other Responsibilities:
- Ensure all assigned activities are completed according to prescribed policies and standards.
- Coordinate and provide status reports of assigned tasks or projects.
- Maintain current knowledge of applicable business activities.
- Fulfill administrative reporting tasks.
Education/Experience Requirements:
- Graduate degree in Computer Science, Economics, Finance, Business, with a minimum of eight years of experience in the field, including at least four years of machine learning experience. Experience can be substituted for an advanced degree.
- Advanced degree is highly desirable.
- Must have strong statistical and software engineering skills and have substantial experience in analyzing large amounts of data in an efficient and scalable manner.
Working Conditions:
- Hybrid work environment, with defined in-person presence requirements.
- Some travel is required.
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: $162,000 - $244,000
San Francisco, CA: $169,000 - $254,000
Boston, MA: $154,400 - $299,600
Chicago, IL: $147,600 - $286,500
Denver, CO: $134,400 - $260,400
Jericho, NY: $154,400 - $299,600
Jersey City, NJ: $161,200 - $312,600
Philadelphia, PA: $147,600 - $286,500
New York, NY: $161,200 - $312,600
Rockville, MD: $154,400 - $299,600
Tysons, VA: $154,400 - $299,600
Washington, DC: $154,400 - $299,600
Woodbridge, NJ: $154,400 - $299,600
Connecticut State: $134,400 - $312,600
Washington State: $134,400 - $312,600
#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.
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