Finra
From Finra's careers page
Status: listed on the employer's own careers page when we last checked (daily). Confirm on their site before applying.
Strategic Intelligence is a team within FINRA's Risk & Intelligence organization that provides strategic and tactical intelligence impacting member firms, investors, and the financial markets, translating into better, more informed and timely regulatory decisions. The Strategic Intelligence team supports FINRA's Regulatory Programs by identifying, analyzing, and assessing emerging risks and trends, and generating insights through finished intelligence products.
The Senior Principal Intelligence Program Specialist serves as the team's primary operational representative across Regulatory Operations (RegOps). This position will require building and maintaining effective relationships internally across FINRA's regulatory programs and enabling functions in support of both Strategic Intelligence and FINRA's strategic priorities.
The Senior Principal Intelligence Program Specialist executes functions in support of the Strategic Intelligence mission including the following:
Represent and serve as the subject matter expert for Strategic Intelligence in all operational forums and functions across Regulatory Operations (RegOps), serving as the team's primary point of contact and ensuring that operational decisions align with Strategic Intelligence's interests, mission and priorities.
Work in close coordination and collaboration with the Risk & Intelligence Operations Center (RIOC) across all operational functions, including collections, planning, dissemination, and feedback, ensuring that the team's operational activities are fully aligned with and supported by RIOC's processes, tools, and expertise.
Independently develop and maintain intelligence collection strategies, frameworks, and standards to ensure that Strategic Intelligence's internal workflows are efficient, well-coordinated, and capable of delivering timely intelligence in support of FINRA's regulatory mission.
Develop, own, and maintain the governance framework for Strategic Intelligence, ensuring the team has up-to-date, documented, and consistently applied written processes, procedures, standards, and controls. Work closely with other RegOps teams to ensure alignment and consistency with their governance framework.
Independently identify and, in close coordination with other FINRA departments, help implement ongoing improvements to intelligence operations processes, frameworks, and programs to enhance the effectiveness of Strategic Intelligence's mission.
Independently lead and drive special projects and ad hoc initiatives in support of Strategic Intelligence priorities.
Provide support to Strategic Intelligence's standing intelligence forums, ranging from working groups to a senior leader advisory council.
Demonstrate FINRA’s values.
Collaborate, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
Bachelor’s degree and minimum of eight (8) years of experience, or equivalent combination of education and relevant experience required; advanced degree in intelligence studies, public policy, business, or law preferred.
Previous experience working at a broker-dealer or other type of financial institution or at a government agency or department with a focus on intelligence preferred.
Strong project management and organizational skills, with a proven ability to independently coordinate and execute across multiple operational functions simultaneously.
Self-directed and operationally focused, with the ability to manage competing priorities and navigate unstructured challenges with sound judgment and minimal direction.
Proven knowledge and advanced expertise performing advanced and high-complexity intelligence functions representing the full intelligence cycle.
Proven experience applying highly advanced analytical and strategic thinking skills to assess complex risks and threats impacting stakeholders.
Proven track record of making meaningful improvements to intelligence processes or products.
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, including 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.
FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.
Hybrid work environment, with defined in-person presence requirements.
Extended hours and travel as needed.
For work that is performed in CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations.
Boston, MA: $131,200 - $238,300
Chicago, IL: $125,900 - $228,000
Denver, CO: $114,200 - $207,200
Jericho, NY: $131,200 - $238,300
Jersey City, NJ: $137,000- $248,700
Philadelphia, PA: $125,900 - $228,000
New York, NY: $137,000 - $248,700
Rockville, MD: $131,200 - $238,300
Tysons, VA: $131,200 - $238,300
Washington, DC: $131,200 - $238,300
Woodbridge, NJ: $131,200 - $238,300
Connecticut State: $114,200 - $248,700
Washington State: $114,200 - $248,700
#LI-Hybrid
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 www.finra.org/careers into your browser to reach our site directly.
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 starting at 15 days of paid time off (increasing with years of service, up to 25 days), 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
FINRA’s 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 Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by 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 FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.
Washington state applicants: click here for required notice(s).
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 FINRA and no fee will be paid in the event that person is hired by FINRA.
FINRA is an Equal Opportunity Employer
All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.
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 accommodations in the application process.
FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.
FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.
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