Senior Principal Financial Intelligence Specialist, Emerging Risk in Quinte West

FINRA’s Strategic Intelligence group sits at the intersection of financial regulation and intelligence tradecraft - translating complex market signals into 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.

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. All of those accounts are subject to the Code's investment and securities account restrictions, and new employees must comply with those investment restrictions 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 of data to FINRA.

FINRA is an Equal Opportunity Employer. All qualified applicants receive consideration for employment without regard to any legally protected category.