Senior Principal Analyst, Office of Strategic Engagements

The Office of Strategic Engagement (OSE) team within Member Supervision executes strategic, high visibility external engagements and publications sharing FINRA insights and intelligence with the securities industry. This includes FINRA’s annual regulatory oversight report, as well as topical advisories and alerts to provide timely awareness of significant developments and emerging trends. OSE also works closely with Member Supervision leadership to support a number of cross-functional initiatives and support other groups throughout FINRA.

The Senior Principal Analyst is responsible for supporting the External Strategic Engagements leadership team in all aspects of the group’s responsibilities, represent the team where appropriate, and lead the development of numerous high visibility and high impact publications, speaker preparation materials, and other messaging and information-sharing with external audiences, including member firms. This role builds relationships and works closely with senior leadership across FINRA, member firms, and other constituencies (e.g., industry advocacy groups) to ensure publications, external messaging, and other engagements properly reflect accurate and up to date industry updates, FINRA intelligence and FINRA’s strategic priorities.

Essential Job Functions:

• Own the full life cycle, from creation and partnership with subject matter experts (SMEs) and key stakeholders, to review and editing of final product, for publications and resources for member firm and other external audiences, leveraging deep securities industry experience and knowledge to ensure effective messaging. Responsibilities to include:
  • Collaborating with FINRA SMEs and leading the in-depth review of their preliminary materials.
  • Leading the preparation of reports and documents, including high-profile materials for external publication, e.g., the FINRA Annual Regulatory Oversight Report as well as other FINRA publications.
• Curate, develop, update, and maintain talking points and briefing materials on key regulatory topics for Member Supervision leadership, to provide the most updated and accurate information for external speaking engagements.
• Conduct in-depth research and expert analysis independently and with limited guidance, to include both quantitative and qualitative analysis on a broad range of topics, such as industry trends, evolving regulatory requirements within the securities industry, or individual member firms approaches to handling topics of interest.
• Work closely with leaders across Member Supervision, Office of General Counsel, Corporate Communications and other departments to ensure publications, talking points, and other external engagement messaging is consistent and impactful.
• Identify and engage with staff across the organization as contributors and SMEs for talking points, publications, and other initiatives. Draw from diverse perspectives of SMEs and key stakeholders to drive decisions, resolve conflicts, and influence outcomes.
• Provide strategic support for Member Supervision’s communications with member firms and the investing public, including cultivating and maintaining internal and external relationships, and collaborating on events and participation for FINRA.
• Define and review key data points and metrics, analyze information to inform future engagement planning and drive engagement objectives. Identify opportunities for strategic external engagements, including at industry conferences and meetings that move FINRA’s mission forward and align with strategic priorities.
• 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:

• Represent FINRA as a presenter or panelist at member firms, external conferences or forums, as needed.
• Other duties as assigned.

Education/Experience Requirements:

• Bachelor's Degree, with a strong preference for a Master’s or JD degree.
• Minimum of eight (8) years of securities, compliance or financial regulatory experience required.
• Advanced knowledge of securities industry rules, regulations and guidelines, including securities markets, member firm operations, and books and records requirements.
• Advanced working knowledge of relevant FINRA, SEC, and SRO rules.

Skills Requirements:

• Extremely strong writing skills are essential, as is attention to detail and the intellectual flexibility to work on projects addressing highly disparate subjects.
• Strong communication, presentation and facilitation skills highly desirable.
• Ability to interact professionally and confidently with senior level management, and to represent FINRA with executive an