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 chance to make a meaningful impact on the U.
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 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 Expert proficiency with Microsoft Office Suite and related productivity tools 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 Strong knowledge of FINRA rules and federal securities laws Strong knowledge of securities markets and member firm operations 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. Extended hours and travel as needed. 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. 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

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