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

Robust 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

📌 Senior Principal Financial Intelligence Specialist, Emerging Risk (Picton)
🏢 finra
📍 Picton