Principal Intelligence Specialist, FIU - All FINRA Locations

The Financial Intelligence Unit (FIU) within FINRA’s National Cause and Financial Crimes Detection Program (NCFC) is charged with collecting and analyzing internal and external intelligence to proactively identify emerging risks and potential threat to investors and the market.

The FIU creates intelligence assessments and other products, resulting in more robust investigations; the identification of new targets; and the ability to collaboratively inform our partners, member firms, government agencies, and other external parties, of vital information to help strengthen controls in order to mitigate risk.

The Principal Intelligence Specialist executes functions in support of the specialized unit’s missions including, but not limited to, the analysis, processing and distribution of strategic and tactical intelligence.

Essential Job Functions:


* Leads projects to resolve problem statements to address strategic and tactical targets


* Leads projects to analyze data and information of all levels of risk and complexity with minimal supervision


* Identifies and collects appropriate internal and open source information to resolve problem statements of all levels of risk and complexity


* Processes data and information of all levels of risk and complexity


* Prepares written material to distribute intelligence findings to appropriate stakeholders


* Conducts consultation tasks of high complexity under general the supervision of specialist unit management


* Works with stakeholders to incorporate intelligence analysis into action


* Conducts tasks related to member firm/investor education that may include but is not limited to (1) serving on conference panels (2) providing training as part of seminars, boot camps, and other compliance events


* Conducts tasks related to staff training that may include, but is not limited to staff training events, podcasts, LMS specific training


* Assists with examination tasks

Education/Experience Requirements:


* Bachelor’s degree or equivalent relevant experience required; advanced degree or law degree, preferred.


* Advanced knowledge of relevant FINRA rules and the federal securities laws and demonstrated investigative experience.


* Advanced knowledge of the securities markets and member firm operations and its books and records.


* Advanced written and verbal communications skills.


* Advanced ability to initiate and complete high quality reviews and investigations, including an ability to work quickly on multiple time-sensitive matters.


* Advanced organizational skills with exceptional attention to detail.


* Advanced proficiency using computer programs with the full suite of Office software applications.


* Effective at building and managing relationships.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed salary range for the correspondi...