Principal Intelligence Specialist

StratIntel, within FINRA's Member Supervision department, delivers proactive intelligence that enhances investor protection and market integrity through informed, timely regulatory decisions. Our teams identify emerging risks, analyze market trends, and generate insights through advanced analytics and intelligence products.

Role Overview
The Principal Intelligence Specialist plays a vital role in StratIntel's mission by:

• Leading complex analytical projects to identify emerging market risks with minimal supervision
• Developing sophisticated frameworks to evaluate high-impact threats
• Providing expert insights on strategic targets affecting investor protection
• Translating complex findings into actionable intelligence for key stakeholders
• Facilitating intelligence sharing to address novel threats to investors and the industry

Essential Job Functions:

The Principal Intelligence Specialist executes functions in support of the StratIntel mission including the following:

• Conduct in-depth research on complex regulatory issues and market trends
• Prepare and distribute intelligence findings to appropriate stakeholders
• Develop forward-looking analyses to anticipate emerging risks
• Partner across departments to enhance intelligence collection and sharing
• Drive outreach to member firms and collaborate with external parties including government agencies
• Represent FINRA at industry events
• Maintain StratIntel's internal policies and procedures
• Serve as subject matter expert on cross-functional, complex initiatives
• Demonstrate FINRA's values through collaborative work supporting our mission

Education/Experience Requirements:

• Bachelor’s degree or equivalent relevant experience required; advanced degree or law degree, preferred.
• Strong knowledge of FINRA rules and the federal securities laws is preferred.
• Strong knowledge of the securities markets and member firm operations is preferred.
• Advanced and effective written and verbal communication and interpersonal skills, namely building and managing relationships with internal and external stakeholders. Advanced ability to initiate and complete high quality reviews and investigations, including an ability to work quickly on multiple time sensitive matters.
• Advanced organizational skills with exceptional attention to detail.
• Advanced proficiency using computer programs with the full suite of Office software applications.
• Effective at building and managing relationships.

Working Conditions:

• Hybrid work environment, with defined in-person presence requirements.

For work that is performed in CA, CO, IL, Jersey City, NJ, New York City, NY, MA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location. 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 internal peer compensation comparisons.

CA: Minimum Salary $109,600, Maximum Salary $206,200

CO*: Minimum Salary $95,300, Maximum Salary $171,800

IL*: Minimum Salary $104,900, Maximum Salary $189,400

Jersey City, NJ/NYC, NY: Minimum Salary $114,300, Maximum Salary $206,200

MA: Minimum Salary $95,300, Maximum Salary $197,600

MD/Washington, DC: Minimum Salary $109,600 Maximum Salary $197,600

NJ State: Minimum Salary $104,900, Maximum $206,200

NY State: Minimum Salary $95,300, Maximum Salary $206,200

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#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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