Senior Principal Intelligence Specialist, Emerging Risk Intelligence

FINRA; Vernon (CT); Hybrid; USD 114,000 - 249,000; Full time

Job summary

FINRA seeks a Senior Principal Intelligence Specialist to shape how emerging risks are understood and addressed across the securities industry. You will collaborate with regulators, member firms, and law enforcement to deliver actionable intelligence products and protect investors.

You will lead end-to-end intelligence work, develop frameworks, and drive improvements while representing FINRA externally and educating staff through events and trainings.

Qualifications

• Bachelor's degree with 8+ years of relevant experience or equivalent
• Highly advanced analytical and strategic thinking to assess complex risks
• Proven ability to build and manage relationships with diverse stakeholders
• Excellent written and verbal communication and organizational skills

Responsibilities

• Drive intelligence initiatives by partnering with SMEs to identify emerging threats and translate them into strategic insights
• Lead end-to-end intelligence work across the full intelligence cycle
• Produce high-quality intelligence products for senior leadership and external stakeholders
• Build and manage a network of internal and external partners including member firms and law enforcement
• Develop intelligence frameworks, collection strategies, and standards for timely delivery
• Identify and implement improvements to intelligence processes and programs
• Represent FINRA externally through panels, working groups, and engagement with member firms
• Educate FINRA staff through trainings, podcasts, workshops, and webinars

Skills

Intelligence cycle

Analytical thinking

Stakeholder management

Communication skills

MS Office proficiency

Education

Bachelor's degree

Advanced degree in Intelligence Studies, Public Policy, Business, or Law

Tools

Microsoft Office Suite

Job description

FINRA's Strategic Intelligence group sits at the intersection of financial regulation and intelligence tradecraft — translating complex market signals into the actionable insights that drive better, faster regulatory decisions. Within Strategic Intelligence, the Emerging Risk Intelligence Team (ERIT) is a specialized, high-impact function dedicated to identifying and analyzing sales practice and operational risks that are emerging, evolving, or historically under-examined across the securities industry.

As a Senior Principal Intelligence Specialist, you won't just be analyzing risks — you'll be shaping how FINRA understands and responds to them. You'll collaborate across the organization, engage directly with member firms, and partner with law enforcement and government intelligence counterparts to deliver intelligence products that protect investors and safeguard market integrity.

If you're a seasoned intelligence professional who thrives on complexity, brings deep financial markets knowledge, and is energized by mission-driven work, this role offers a rare opportunity to make a meaningful impact on the U.S. financial system.

What You'll Do

• 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

What We're Looking For

Required Qualifications

• 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

Preferred Qualifications

• 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

Why FINRA

FINRA is a not-for-profit organization dedicated to investor protection and market integrity. We operate at the forefront of financial regulation, combining deep industry expertise with a mission that matters. Joining Strategic Intelligence means working alongside professionals who bring backgrounds in government intelligence, law enforcement, financial regulation, and capital markets — all united around a common purpose.

This role supports FINRA Forward, FINRA's initiative to strengthen its regulatory approach and deliver greater value to member firms and the investing public.

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

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*

• Based on full‑time schedule

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.

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.

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 [e-mail]. 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.