Senior Principal Intelligence Specialist FIU - All FINRA Locations
Senior Principal Intelligence Specialist FIU - All FINRA Locations
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Job Description
The Financial Intelligence Unit (FIU) within StratIntel is charged with collecting and analyzing internal and external intelligence to proactively identify emerging risks and potential threats to investors and the market. The FIU creates intelligence assessments and other products resulting in more robust investigations the identification of new targets and the ability to collaboratively inform our partners member firms government agencies and other external parties of vital information to help strengthen controls in order to mitigate risk.
The Senior Principal Cyber Intelligence Specialist is an advanced expert level professional position utilizing an expanded skillset and expertise related to cybersecurity cyber fraud tactics techniques and practices and demonstrated ability to independently build strong partnerships internally and externally. Beyond identifying cyberrelated fraudulent conduct occurring at by or through FINRA member firms or registered representatives this position proactively surveils the industry for cyber threat intelligence analyzes that intelligence and helps generate both tactical and strategic intelligence products.
This position serves as a dedicated subject matter expert and liaison in cybersecurity and cyberrelated fraud intelligence building and maintaining effective relationships with FINRAs Cyber and Analytics Unit Risk Monitoring teams Firm Examination teams the Office of Regulatory Liaison Office of Innovation National Cause Program Market Regulation partners Investor Education and Enforcement investigators and attorneys among others as necessary
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 timesensitive cyberrelated 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 cyberrelated 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 inperson and virtually in furtherance of FINRAs mission of investor protection and market integrity.
Education/Experience Requirements:
- Bachelors degree and minimum of eight 8 year 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 inperson presence requirements.
- Extended hours and overnight travel as needed.
For work that is performed in CA CO HI MN VT IL Jersey City NJ New York City NY MA WA 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 candidates skill set level of experience education and internal peer compensation comparisons.
CA: Minimum Salary $128000 Maximum Salary $242600
CO/HI/MN/VT*: Minimum Salary $111400 Maximum Salary $202100
IL*: Minimum Salary $122800 Maximum Salary $222400
Jersey City NJ/NYC NY: Minimum Salary $133700 Maximum Salary $242600
MA/WA: Minimum Salary $111400 Maximum Salary $232500
MD/Washington DC: Minimum Salary $128000 Maximum Salary $232500
NJ State: Minimum Salary $122800 Maximum $242600
NY State: Minimum Salary $111400 Maximum Salary $242600
*Including positions performed outside the state but reporting to an office or manager in that state.
Candidates can expect salary offers that range from the minimum to the midpoint of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.
#LIHybrid
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 disabilityrelated accommodation for completing the application process please contact FINRAs Employee Relations team at 240.386.4865 or by email atPlease note that this process is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. Nonexempt 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 longterm disability longterm 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 FINRAfunded 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 timeoff program of 15 days of paid time off 5 personal days and 9 sick days unless otherwise required by law (all prorated in the first year). Additionally we are proud to support our communities by providing two volunteer service days (based on fulltime 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). Fulltime employees receive nine paid holidays.
*Based on fulltime 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 brokerdealers 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 (efeed) of data to FINRA and must move securities accounts from other securities firms to a firm that provides an efeed 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 FINRA and no fee will be paid in the event that person is hired by FINRA.
FINRA strives to make our career site accessible to all users. If you need a disabilityrelated accommodation for completing the application process please contact FINRAs Employee Relations team at 240.386.4865 or by email atPlease note that this process is exclusively for inquiries regarding application accommodations.
All qualified applicants will receive consideration for employment without regard to age citizenship status color disability marital status national origin race religion sex veteran status or any other classification protected by federal state or local laws.
FINRA abides by the requirements of 41 CFR 60741.5(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 60300.5(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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Required Experience:
Staff IC
Employment Type
Full-Time
