Senior Principal Analyst, Office of Strategic Engagements

The Office of Strategic Engagement (OSE) team within Member Supervision executes strategic, high visibility external engagements and publications sharing FINRA insights and intelligence with the securities industry. This includes FINRA’s annual regulatory oversight report, as well as topical advisories and alerts to provide timely awareness of significant developments and emerging trends. OSE also works closely with Member Supervision leadership to support a number of cross-functional initiatives and support other groups throughout FINRA.
The Senior Principal Analyst is responsible for supporting the External Strategic Engagements leadership team in all aspects of the group’s responsibilities, represent the team where appropriate, and lead the development of numerous high visibility and high impact publications, speaker preparation materials, and other messaging and information-sharing with external audiences, including member firms. This role builds relationships and works closely with senior leadership across FINRA, member firms, and other constituencies (e.g., industry advocacy groups) to ensure publications, external messaging, and other engagements properly reflect accurate and up to date industry updates, FINRA intelligence and FINRA’s strategic priorities.

Essential Job Functions:

• Own the full life cycle, from creation and partnership with subject matter experts (SMEs) and key stakeholders, to review and editing of final product, for publications and resources for member firm and other external audiences, leveraging deep securities industry experience and knowledge to ensure effective messaging. Responsibilities to include:
  • Collaborating with FINRA SMEs and leading the in-depth review of their preliminary materials.
  • Leading the preparation of reports and documents, including high-profile materials for external publication, e.g., the FINRA Annual Regulatory Oversight Report as well as other FINRA publications.
• Curate, develop, update, and maintain talking points and briefing materials on key regulatory topics for Member Supervision leadership, to provide the most updated and accurate information for external speaking engagements.
• Conduct in-depth research and expert analysis independently and with limited guidance, to include both quantitative and qualitative analysis on a broad range of topics, such as industry trends, evolving regulatory requirements within the securities industry, or individual member firms approaches to handling topics of interest.
• Work closely with leaders across Member Supervision, Office of General Counsel, Corporate Communications and other departments to ensure publications, talking points, and other external engagement messaging is consistent and impactful.
• Identify and engage with staff across the organization as contributors and SMEs for talking points, publications, and other initiatives. Draw from diverse perspectives of SMEs and key stakeholders to drive decisions, resolve conflicts, and influence outcomes.
• Provide strategic support for Member Supervision’s communications with member firms and the investing public, including cultivating and maintaining internal and external relationships, and collaborating on events and participation for FINRA.
• Define and review key data points and metrics, analyze information to inform future engagement planning and drive engagement objectives. Identify opportunities for strategic external engagements, including at industry conferences and meetings that move FINRA’s mission forward and align with strategic priorities.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Other Responsibilities:

• Represent FINRA as a presenter or panelist at member firms, external conferences or forums, as needed.
• Other duties as assigned.

Education/Experience Requirements:

• Bachelor's Degree, with a strong preference for a Master’s or JD degree.
• Minimum of eight (8) years of securities, compliance or financial regulatory experience required.
• Advanced knowledge of securities industry rules, regulations and guidelines, including securities markets, member firm operations, and books and records requirements.
• Advanced working knowledge of relevant FINRA, SEC, and SRO rules.

Skills Requirements:

• Extremely strong writing skills are essential, as is attention to detail and the intellectual flexibility to work on projects addressing highly disparate subjects.
• Strong communication, presentation and facilitation skills highly desirable.
• Ability to interact professionally and confidently with senior level management, and to represent FINRA with executive and senior leaders at other regulators and member firms.
• Expert critical thinking, research and analytical skills.
• Advanced organizational skills and project management experience.
• Proven ability to work independently with limited supervision.
• Proven ability to manage time effectively, and complete assignments within tight timeframes at a high quality.
• Strong decision-making skills.
• Expert relationship building skills and ability to influence consensus.

Working Conditions:

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

For work that is performed in CA, CO, IL, Jersey City, NJ, New York City, NY, MA, 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 candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

CA: Minimum Salary $128,000, Maximum Salary $242,600

CO*: Minimum Salary $111,400, Maximum Salary $202,100

IL*: Minimum Salary $122,800, Maximum Salary $222,400
Jersey City, NJ/NYC, NY: Minimum Salary $133,700, Maximum Salary $242,600

MA: Minimum Salary $111,400, Maximum Salary $232,500

MD/Washington, DC: Minimum Salary $128,000, Maximum Salary $232,500

NJ State: Minimum Salary $122,800, Maximum $242,600

NY State: Minimum Salary $111,400, Maximum Salary $242,600

*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 mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#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.

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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 [email protected]. Please note that this process is exclusively for inquiries regarding application accommodations. 

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 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 [email protected]. Please 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 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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