Senior Principal Financial Intelligence Specialist, Emerging Risk
About The Position
FINRA’s Strategic Intelligence group translates complex market signals into actionable insights to support regulatory decisions. Within the group, the Emerging Risk Intelligence Team identifies and analyzes emerging, evolving, or historically under-examined sales practice and operational risks across the securities industry. The Senior Principal Financial Intelligence Specialist shapes how FINRA understands and responds to these risks. The role collaborates across the organization, engages with member firms, and partners with law enforcement and government intelligence counterparts to produce intelligence that protects investors and safeguards market integrity. The position supports FINRA Forward, an initiative to strengthen FINRA’s regulatory approach and deliver greater value to member firms and the investing public. The work is performed in a hybrid environment with defined in-person presence requirements. Extended hours and travel may be needed. The role offers location-dependent base salary ranges, and employees may be eligible for a discretionary bonus. Benefits include insurance, retirement contributions, tuition reimbursement, commuter benefits, family-care and adoption-related assistance, wellness programs, and paid time off and leave.
Requirements
- Bachelor’s degree and at least 8 years of relevant experience, or an equivalent combination of education and experience.
- Proven knowledge and advanced expertise across the full intelligence cycle, including collection, analysis, processing, and dissemination.
- Demonstrated ability to apply highly advanced analytical and strategic thinking to assess complex risks and threats.
- Track record of making meaningful, measurable improvements to intelligence processes or products.
- Highly advanced written and verbal communication skills, including experience building and managing relationships with diverse internal and external stakeholders.
- Highly advanced organizational skills and exceptional attention to detail.
- Expert proficiency with Microsoft Office Suite and related productivity tools.
Nice To Haves
- Advanced degree in Intelligence Studies, Public Policy, Business, or Law.
- Prior experience at a broker-dealer, financial institution, or government agency or department with an intelligence focus.
- Strong knowledge of FINRA rules and federal securities laws.
- Strong knowledge of securities markets and member firm operations.
Responsibilities
- Partner with subject matter experts across FINRA regulatory programs to identify emerging threats and translate them into strategic insights.
- Lead intelligence work end to end, independently collecting, analyzing, processing, and disseminating intelligence across the full intelligence cycle.
- Produce assessments, briefings, thematic analyses, and publications that turn complex information into clear, actionable insights for senior leadership, regulatory staff, and external stakeholders.
- Build and manage internal and external partner networks, including member firms, law enforcement agencies, and government intelligence counterparts.
- Develop and refine intelligence frameworks, collection strategies, and standards to improve the timeliness and quality of intelligence delivery across the enterprise.
- Identify and implement meaningful improvements to intelligence processes, programs, and frameworks.
- Represent FINRA at conference panels, working groups, roundtables, and member firm intelligence-sharing engagements.
- Contribute to training events, podcasts, workshops, and webinars to educate FINRA staff.
- Travel and work extended hours as needed.
Benefits
- Discretionary bonus eligibility.
- Comprehensive health, dental, and vision insurance.
- Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment insurance.
- Short- and long-term disability insurance, long-term care insurance, business travel accident insurance, and legal insurance.
- Immediate participation and vesting in a 401(k) plan with company match.
- Eligibility to participate in an additional FINRA-funded retirement contribution.
- Tuition reimbursement.
- Commuter benefits.
- Adoption assistance, backup family care, and surrogacy benefits.
- Employee assistance and wellness programs.
- Paid time off starting at 15 days, increasing with years of service up to 25 days.
- Five personal days and nine sick days, prorated in the first year as applicable.
- Two volunteer service days based on a full-time schedule.
- Paid military, jury duty, bereavement, voting and election official, family-member care, childbirth, and parental leave, subject to the stated eligibility conditions where applicable.
- Nine paid holidays for full-time employees.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
