Senior 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 Senior Principal Intelligence Specialist is an advanced expert level, professional position, utilizing an expanded skillset and expertise related to the mission of StratIntel including, but not limited to, the collection, analysis, processing and dissemination of strategic and tactical intelligence. This position proactively engages with member firms and other FINRA intelligence partners in support of the StratIntel mission.

This position serves as a dedicated subject matter expert and liaison on cyber and fraud threat intelligence, building and maintaining effective relationships internally with FINRA’s Financial Intelligence Unit, Cyber and Analytics Unit, and Risk Monitoring teams, and externally with FINRA member firms and other government and intelligence partners.

Essential Job Functions

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

• Partner across FINRA and externally on strategic and time-sensitive cyber-related events or matters to mitigate the risk of investor harm.
• Proactively monitor relevant risk areas and notable trends, threats, and / or issues applicable to cyber intelligence and investigations. Participate in the development of strategies around mitigating cyber-related risks and threats.
• Independently identify strategic and tactical risks and threats impacting FINRA’s mission of investor protection and market integrity and develop problem statements to address the risks.
• Independently establish and maintain partnerships and networks with internal and external stakeholders to understand intelligence priorities.
• Independently identify and collect appropriate internal and external data and information from internal and external stakeholders.
• Independently conduct analysis of the highest risk and complexity and contributes to expanded reviews.
• Independently develop and execute strategies to distribute intelligence analysis to the appropriate stakeholders.
• Independently provide briefings to impacted internal and external stakeholders and work with stakeholders to transform intelligence analysis into action.
• Conduct tasks related to member firm / investor intelligence sharing and participate on conference panels, working groups and roundtables.
• Conduct tasks related to FINRA staff training and intelligence sharing that may include, but is not limited to subject matter training events, podcasts, workshops, or live webinars.
• 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

Bachelor’s degree and minimum of eight (8) years of experience, or equivalent combination of education and relevant experience required; advanced degree or law degree, preferred.

Proven expertise performing advanced and high complexity intelligence functions representing the full intelligence cycle.

Proven experience demonstrating highly advanced knowledge analyzing and thinking strategically about complex risks and threats to stakeholders.

Strong knowledge of FINRA rules and the federal securities laws is preferred.

Strong knowledge of the securities markets and member firm operations is preferred.

Highly advanced and effective written and verbal communication and interpersonal skills, namely building and managing relationships with internal and external stakeholders.

Highly advanced organizational skills with exceptional attention to detail.

Expert proficiency using computer programs with the full suite of Office software applications.

Highly effective at building and managing relationships.

Work Conditions :

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

Demonstration of FINRA's values

Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity

Extended hours and travel as needed.

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

IL

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

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.