Principal Intelligence Specialist

Strategic Intelligence & Analytics (StratIntel) is an organization within FINRA’s Member Supervision department that provides proactive and strategic intelligence in support of investor protection and market integrity, translating into better, more informed and timely regulatory decisions. The StratIntel teams support FINRA’s Regulatory Programs by identifying, analyzing and assessing emerging risks and trends, generating insights through models, advanced analytics and written intelligence products.

The Financial Intelligence Fusion Center (FIFC) within FINRA's StratIntel Program is charged with aggregating, analyzing and disseminating real-time intelligence collected by FINRA, member firms, regulators, and law enforcement, among other sources. The FIFC is supported by intelligence work performed by StratIntel and provides a secure portal by which to share actionable insights with internal and external stakeholders to strengthen our collective ability to protect investors and mitigate risk.

The Principal Intelligence Specialist executes functions in support of the mission of StratIntel including, but not limited to, the analysis, processing and dissemination of strategic and tactical intelligence. This role is essential in enabling bi-directional intelligence sharing, leading to the immediate awareness of the newest and most novel threats facing investors and the industry.

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

• Leads complex analytical projects to identify and address emerging risks to investors and markets with minimal supervision.
• Develops sophisticated analytical frameworks to evaluate threats of high complexity and significance.
• Provides expert insights on strategic and tactical targets impacting investor protection and market integrity.
• Conducts in-depth research and analysis on complex regulatory issues and market trends.
• Prepares written material to distribute intelligence findings to appropriate stakeholders.
• Develops forward-looking analyses to anticipate emerging risks and opportunities.
• Translates complex analytical findings into actionable intelligence for key stakeholders.
• Partners effectively across departments to collect and share intelligence insights.
• Drives outreach to member firms and collaborates directly with other key stakeholders including external parties such as government agencies and private sector entities and represents FINRA at relevant industry events.
• Maintains StratIntel’s internal policies and procedures
• Serves as a subject matter expert on cross-functional, large, and/or complex special projects/initiatives.
• Demonstration of FINRA’s values
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity

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: Mini