Senior Principal Strategic Research Analyst, Market Analytics

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.

Essential Job Functions:

• 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.
• Provide efficient quantitative support for market studies examinations and ongoing investigations.
• Identify areas and problems within the MRD business domains that can be solved with Machine Learning solutions.
• Assist in performing regulatory impact assessments of the industrys FINRAs and RSA clients initiatives on the Cross-Market and SRO-specific programs.
• Adapt MRDs investigatory referral and examination program to new rules and initiatives.
• Support management and others to inform internal and external constituents on overall program vision strategy operations processes and implementation status.
• Support the comprehensive and successful execution of the teams programs in an efficient and effective manner.
• Participate in and/or lead efforts in ad hoc special projects and national initiatives as requested.

• Demonstration of FINRAs values.
• Collaboration both in-person and virtually in furtherance of FINRAs mission of investor protection and market integrity.

Other Responsibilities:

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

Education/Experience Requirements:

• 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. Experience can be substituted for an advanced degree.
• Advanced degree is highly desirable.
• Must have strong statistical and software engineering skills and have substantial experience in analyzing large amounts of data in an efficient and scalable manner.

Working Conditions:

• Hybrid work environment with defined in-person presence requirements.
• Some travel is required.

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 the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the addition to location actual compensation is based on various factors including but not limited to the candidates skill set level of experience education and market considerations.

Los Angeles CA: $162000 - $244000

San Francisco CA: $169000 - $254000

Boston MA: $154400 - $299600

Chicago IL: $147600 - $286500

Denver CO: $134400 - $260400

Jericho NY: $154400 - $299600

Jersey City NJ: $161200 - $312600

Philadelphia PA: $147600 - $286500

New York NY: $161200 - $312600

Rockville MD: $154400 - $299600

Tysons VA: $154400 - $299600

Washington DC: $154400 - $299600

Woodbridge NJ: $154400 - $299600

Connecticut State: $134400 - $312600

Washington State: $134400 - $312600

#LI-Hybrid

To be considered for this position please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties responsibilities and qualifications required.

Please note: If the Apply Now button on a job board posting does not take you directly to the FINRA Careers site enter into your browser to reach our site directly.

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.

Time Off and Paid Leave*

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

Important Information

FINRAs Code of Conduct imposes restrictions on employees investments and requires financial disclosures that are uniquely related to our role as a securities regulator. 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 Codes investment and securities account restrictions and new employees must comply with those investment restrictionsincluding disposing of any security issued by a company on FINRAs Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby 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 FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys policy on nepotism.

Washington state applicants: click here for required notice(s).

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity Employer

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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.

FINRA abides by the requirements of 41 CFR 60-300.5(a). 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.

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Required Experience:

Staff IC