Senior Principal Intelligence Specialist, Emerging Risk Intelligence

FINRA • Rockville, NY

14h • Hybrid

About The Position

FINRA's Strategic Intelligence group translates complex market signals into actionable insights for regulatory decisions. The Emerging Risk Intelligence Team (ERIT) specifically focuses on identifying and analyzing sales practice and operational risks across the securities industry. This role involves driving intelligence initiatives, leading end-to-end intelligence work, producing high-quality intelligence products, building and managing networks of internal and external partners, developing intelligence frameworks, and representing FINRA externally. The position is part of FINRA Forward, an initiative to strengthen FINRA's regulatory approach.

Requirements

• Bachelor's degree and a minimum of 8 years of relevant experience, or an equivalent combination of education and experience.
• Proven knowledge and advanced expertise across the full intelligence cycle — 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, with demonstrated experience building and managing relationships with diverse internal and external stakeholders.
• Highly advanced organizational skills with 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/department with an intelligence focus.
• Strong knowledge of FINRA rules and federal securities laws.
• Strong knowledge of securities markets and member firm operations.

Responsibilities

• Drive intelligence initiatives by partnering with subject matter experts across FINRA's regulatory programs to identify emerging threats and translate them into strategic insights.
• Lead end-to-end intelligence work — independently collecting, analyzing, processing, and disseminating intelligence across the full intelligence cycle.
• Produce high-quality intelligence products — 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 a robust network of internal and external partners, including member firms, law enforcement agencies, and government intelligence counterparts.
• Develop and refine intelligence frameworks, collection strategies, and standards that improve the timeliness and quality of intelligence delivery across the enterprise.
• Champion continuous improvement by independently identifying and implementing meaningful enhancements to intelligence processes, programs, and frameworks.
• Represent FINRA externally through conference panels, working groups, roundtables, and member firm engagement on intelligence sharing.
• Educate and empower FINRA staff by contributing to training events, podcasts, workshops, and webinars.

Benefits

• 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.
• Legal insurance.
• Immediate participation and vesting in a 401(k) plan with company match.
• Eligibility for participation in an additional FINRA-funded retirement contribution.
• Tuition reimbursement.
• Commuter benefits.
• Adoption assistance.
• Backup family care.
• Surrogacy benefits.
• Employee assistance programs.
• Wellness programs.
• Generous time-off program starting at 15 days of paid time off (increasing with years of service, up to 25 days).
• 5 personal days.
• 9 sick days (unless otherwise required by law).
• Two volunteer service days.
• Military leave.
• Jury duty leave.
• Bereavement leave.
• Voting and election official leave.
• Care of a family member leave (available after 90 days of employment).
• Childbirth and parental leave (available after 90 days of employment).
• Nine paid holidays.
• Discretionary bonus.
• Overtime pay (for non-exempt employees).

What This Job Offers

• Job Type: Full-time
• Career Level: Senior