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 efficient 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 advantages, 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

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