Job Description

Overview

Strategic Intelligence & Analytics (StratIntel) is an organization within FINRAs 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 FINRAs 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 FINRAs 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 FINRAs 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 FINRAs values.
• Collaboration, both in-person and virtually, in furtherance of FINRAs mission of investor protection and market integrity.

Education/Experience

• Bachelors 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.

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

Please note: If the Apply Now button on a job board posting does not take you directly to the FINRA Careers site, enter into your browser to reach our site directly.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations.

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

Important Information

FINRAs Code of Conduct imposes restrictions on employees investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Codes investment and securities account restrictions, and new employees must comply with those investment restrictionsincluding disposing of any security issued by a company on FINRAs Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of]]> <

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