Strategic Innovation Jobs (NOW HIRING)

The Senior Principal Analyst in Market & Regulatory Services ("MRS") Strategic Innovation & Research performs essential analysis and research to enable MRS to effectively innovate and expand its portfolio through securities industry experience, market research, operational assessments, and industry engagement. MRS operates, coordinates, and invests in a range of technology-dependent and operationally complex facilities and services that benefit FINRA and other regulators, market participants, and investors. This role is responsible for analyzing potential opportunities to expand MRS' facilities and services offerings and makes recommendations on the extent to which new initiatives may add value to broker-dealers, investors, and financial markets. This position is a seasoned individual contributor who is a developing subject matter expert and works independently with minimal oversight.

Essential Job Functions:

• Develops comprehensive assessments of opportunities, risks, benefits, and costs for new or enhanced products and services across FINRA business units, including market data products, licensing and registration offerings, and regulatory reporting services.

• Conducts detailed market research and analysis to support fact-based evaluations, including current market offerings, stakeholder needs, competitive landscape, implementation costs, and projected revenue.

• Engages industry stakeholders-including broker-dealers, market infrastructure providers, and regulatory agencies-to gather insights on market practices, unmet needs, and potential demand for new offerings.

• Collaborates with FINRA business units to identify existing functions, roles, and process flows that can be leveraged to support new product development and delivery.

• Partners with Finance, Office of General Counsel, and Technology teams to ensure assessments incorporate cross-functional perspectives, legal and compliance considerations, and technical feasibility requirements.

• Evaluates strategic fit of opportunities against FINRA's guiding principles for investment decisions, ensuring alignment with organizational mission, priorities, and risk tolerance.

• Synthesizes research findings and stakeholder input into clear, actionable recommendations that inform executive decision-making on product development and strategic investments.

• Demonstrates FINRA's values.

• Collaborates, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.

Education/Experience Requirements:

• Bachelor's Degree and a minimum of eight (8) years of experience in securities, compliance or financial regulation required; or an equivalent combination of education and directly related experience.
• Advanced degree and/or relevant industry certification(s) preferred.
• Advanced knowledge of equity, debt, and listed derivatives markets, industry trends, and the regulation and operation of U.S. broker-dealers, as well as familiarity with the broader landscape of financial regulation. Experience with securities market structure issues, associated data, regulations and/or market surveillance business processes is strongly preferred.
• Experience with contributing to the assessment of strategic investment opportunities.
• Proven record of creating and providing executive level reporting using metrics, analysis, and data analytics.
• Experience making internal and external presentations as a subject matter expert.
• Proven record of acting independently in an unstructured environment to identify and address challenges, make risk-based decisions, develop new initiatives, and strengthen existing programs.
• Strong collaborator and team builder, with excellent written and verbal communication, interpersonal, and presentation skills.
• Exceptional organizational skills, with an attention to detail and an ability to administer multiple complex assignments concurrently and execute against tight deadlines.
• Able to interact effectively and in a positive manner with people from a variety of backgrounds in order to reach timely, informed decisions.
• 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.

Working Conditions:

• Hybrid work environment, with defined in-person presence requirements.
• Extended hours may be required.

For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, 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.

CO/FL/TX: Minimum Salary $114,200, Maximum Salary $207,200

IL/PA: Minimum Salary $125,900, Maximum Salary $228,000
MA/MD/VA/Washington, DC: Minimum Salary $131,200, Maximum Salary $238,300

NY/NJ: Minimum Salary $131,200, Maximum Salary $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 of 15 days of paid time off, 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.

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.

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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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