Senior Principal Research Analyst, Advanced Analytics

The Senior Principal Research Analyst in Regulatory Operations Analytics is responsible for the planning and execution of analytics projects throughout their lifecycle. This includes defining the approach having the ability to scope and drive analytics with the appropriate quantitative methods and working closely with the business to ensure project objectives and goals are met. This role works across the business to promote the use of advanced analytics to solve business problems.

Essential Job Functions:

• Promote the use of advanced analytics and associated insights for the consumption of internal and external stakeholders including senior level management across the organization.
• Leads business engagement activities including soliciting use cases user feedback training etc.
• Contribute to the development and enhancement of FINRAs cross-market surveillance program.
• Work across delivery teams to deliver analytics capabilities that solve critical business problems.
• Drive availability of relevant data tools and infrastructure to facilitate for experimental and development purposes.
• Provide analytics-based research and respond to ad hoc requests in support of business objectives.
• Define approach for data collection for building analytics-based systems transformations and extending companys data with third party sources of information when needed.
• Devise and implement methods for automation of all parts of the predictive pipeline to achieve regulatory efficiencies.
• Actively participate in the completion of the enterprise-wide strategic plan for expanding analytics capabilities that support regulatory programs to improve efficiency and effectiveness.

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

Other Responsibilities:

• Mentor other Research Analysts on the team and within FINRA on methodologies and best practices.
• Maintain essential skills by attending training programs associated conferences and continued education in advanced analytics software development artificial intelligence and machine learning.

Education/Experience Requirements:

• Bachelors degree in STEM Business or similar quantitative discipline and six (6) or more years of related work experience in Data Science Engineering or Software development; or an equivalent combination of education and experience.
• Experience in advanced analytics using machine learning data mining and natural language processing preferred.
• Familiarity with Big Data processing and platforms desirable.
• Strong knowledge in at least one of the following programming languages: Python R SQL or SCALA.
• Strong problem solving and analytical skills.
• Excellent interpersonal and communication skills.
• Ability to work independently on complex and prolonged projects.

Working Conditions:

• Hybrid work environment with defined in-person presence requirements. Occasional travel and extended hours may be 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: $148000 - $222000

San Francisco CA: $154000 - $232000

Boston MA: $131200 - $238300

Chicago IL: $125900 - $228000

Denver CO: $114200 - $207200

Jericho NY: $131200 - $238300

Jersey City NJ: $137000- $248700

Philadelphia PA: $125900 - $228000

New York NY: $137000 - $248700

Rockville MD: $131200 - $238300

Tysons VA: $131200 - $238300

Washington DC: $131200 - $238300

Woodbridge NJ: $131200 - $238300

Connecticut State: $114200 - $248700

Washington State: $114200 - $248700

#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

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.

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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