In support of Regulatory Operations strategic activities, provides overall business management and knowledge discovery for all phases of surveillance strategic and analytical development efforts including thorough knowledge of functions and practices, industry standards and knowledge of technology relative to Regulatory Operations and enterprise environments. The senior principal strategic research analyst is responsible for participating and/or the leadership, design and implementation of complex data driven solutions specifically relating to high value and priority regulatory matters resulting from both internal and external sources and surveillance programs. This position will work regularly with senior level staff in conducting and presenting the results of the regulatory related analyses.

The senior principal strategic research analyst is expected to independently work and use highly specialized statistical techniques and cutting edge machine learning approaches in the course of their work. The senior principal strategic research analyst will propose and build scalable technical solution frameworks that have applicability for both single domain and multi-domain usages. The role will be expected to use programming paradigms and techniques that can generate insights from multi-terabyte distributed datasets.

The senior principal strategic research analyst is expected to identify and share insights resulting from their work that can be used to improve existing and future surveillance program. The role is expected to generate and provide recommendations pertaining to the use and procurement of strategic datasets that can assist investigatory and surveillance functions and program. The senior principal strategic research analyst will work closely with team members on identifying and taking advantage of trends in the regulatory, data, analytic and machine learning domains.

Participate in and/or lead efforts in the strategic design of quantitative multi-market and multi-product investigatory solutions for processing output and referrals resulting from market manipulation and market conduct rule violations leveraging large volumes of multi-domain data. Provide clear and concise written and visual artifacts supporting analysis performed to senior personnel. Participate in and/or lead efforts in the enhancements and envision the evolution of the surveillance investigatory program in response to market trends and developments.

Assist in performing regulatory impact assessments of the industry’s, FINRA’s, and RSA clients’ initiatives on the Cross-Market and SRO-specific programs. Support management and others to inform internal and external constituents on overall program vision, strategy, operations, processes, and implementation status. Participate in and/or lead efforts in ad hoc special projects and national initiatives,



as requested.

Ensure all assigned activities are completed according to prescribed policies and standards. Coordinate and provide status reports of assigned tasks or projects. Fulfill administrative reporting tasks.

Graduate degree in Computer Science, Economics, Finance, Business, with a minimum of eight years of experience in the field, including at least four years of machine learning experience. Must have strong statistical and software engineering skills and have substantial experience in analyzing large amounts of data in an productive and scalable manner. Some travel is required.

FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required. 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. FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program starting at 15 days of paid time off (increasing with years of service, up to 25 days), 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 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.

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. 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 (phone hidden) or by email at [email protected].

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. 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. ©FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. #

📌 Senior Principal Strategic Research Analyst, Market Analytics (Northumberland County)
🏢 finra
📍 Northumberland County