Senior Principal Intelligence Specialist, Financial Crimes Intelligence, Strategic Intelligence

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 Specialist will have extensive knowledge of and expertise in intelligence disciplines and is expected to utilize an expanded skillset related to the mission of Strategic Intelligence including, but not limited to, the collection, analysis, processing, and dissemination of intelligence. This position will require building and maintaining effective relationships internally with subject matter experts across FINRA’s regulatory programs and externally with member firms, law enforcement, and other government intelligence partners in support of both Strategic Intelligence and FINRA’s missions.

The Financial Crimes Intelligence (FCI) team is a specialized function within Strategic Intelligence focused on advancing FINRA’s understanding of emerging risks and threats related to financial crimes impacting member firms, investors, and the financial markets.

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

• Serve as a partner to internal stakeholders, working with subject matter experts across departments to identify emerging threats and drive intelligence-driven initiatives.
• Proactively and independently identify, analyze, and predict emerging risks, threats, regulatory trends, and critical events impacting member firms, investors, and the financial markets. Contribute to the development of strategies around mitigating risks and threats.
• Independently establish and maintain partnerships and networks with internal and external stakeholders to understand intelligence priorities.
• Independently develop and maintain intelligence frameworks, collection strategies, and standards to ensure timely delivery of actionable intelligence to appropriate stakeholders across the enterprise and externally.
• Independently develop intelligence products, assessments, briefings, and communications that translate complex intelligence into actionable insights for senior leadership, regulatory staff, and external stakeholders.
• Independently identify and help implement ongoing and significant improvements to intelligence processes, frameworks, and programs to enhance the effectiveness of Strategic Intelligence's mission.
• Conduct tasks related to member firm/investor intelligence sharing, which include, but are not limited to, participating in conference panels, working groups, and roundtables.
• Conduct tasks related to FINRA staff training and intelligence sharing that may include, but are not limited to, training events, podcasts, workshops, or live webinars.
• Demonstrate FINRA’s values.
• Collaborate, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Education/Experience Requirements:

• 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.
• 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.

Work Conditions:

• Hybrid work environment, with defined in-person presence requirements.
• Extended hours and travel as needed.

For work that is performed in Los Angeles and San Francisco, CA, 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.

Los Angeles, CA: $140,000 - $211,000

San Francisco, CA: $147,000 - $220,000

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