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About the Role

The Senior Principal Analyst in Market & Regulatory Services (MRS) Strategic Innovation & Research performs essential analysis and research to enable MRS to effectively innovate and expand its portfolio through securities industry experience, market research, operational assessments, and industry engagement. MRS operates, coordinates, and invests in a range of technology-dependent and operationally complex facilities and services that benefit FINRA and other regulators, market participants, and investors. This role is responsible for analyzing potential opportunities to expand MRS’ facilities and services offerings and makes recommendations on the extent to which new initiatives may add value to broker-dealers, investors, and financial markets. This position is a seasoned individual contributor who is a developing subject matter expert and works independently with minimal oversight.

Responsibilities

Develop comprehensive assessments of opportunities, risks, benefits, and costs for new or enhanced products and services across FINRA business units, including market data products, licensing and registration offerings, and regulatory reporting services.
Conduct detailed market research and analysis to support fact-based evaluations, including current market offerings, stakeholder needs, competitive landscape, implementation costs, and projected revenue.
Engage industry stakeholders—including broker-dealers, market infrastructure providers, and regulatory agencies—to gather insights on market practices, unmet needs, and potential demand for new offerings.
Collaborate with FINRA business units to identify existing functions, roles, and process flows that can be leveraged to support new product development and delivery.
Partner with Finance, Office of General Counsel, and Technology teams to ensure assessments incorporate cross-functional perspectives, legal and compliance considerations, and technical feasibility requirements.
Evaluate strategic fit of opportunities against FINRA's guiding principles for investment decisions, ensuring alignment with organizational mission, priorities, and risk tolerance.
Synthesize research findings and stakeholder input into clear, actionable recommendations that inform executive decision-making on product development and strategic investments.
Demonstrate FINRA’s values.
Collaborate, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Requirements

Minimum of eight years of experience in securities, compliance, or financial regulation, or an equivalent combination of education and directly related experience.
Advanced knowledge of equity, debt, and listed derivatives markets, industry trends, and the regulation and operation of U.S. broker-dealers.
Familiarity with the broader landscape of financial regulation.
Experience with securities market structure issues, associated data, regulations, and/or market surveillance business processes is strongly preferred.
Experience contributing to the assessment of strategic investment opportunities.
Proven record of creating and providing executive-level reporting using metrics, analysis, and data analytics.
Experience making internal and external presentations as a subject matter expert.
Proven record of acting independently in an unstructured environment to identify and address challenges, make risk-based decisions, develop new initiatives, and strengthen existing programs.
Strong collaborator and team builder.
Excellent written and verbal communication, interpersonal, and presentation skills.
Exceptional organizational skills with attention to detail.
Ability to administer multiple complex assignments concurrently and execute against tight deadlines.
Ability to interact effectively and positively with diverse backgrounds to reach timely, informed decisions.

Skills

Securities industry experience
Market research
Operational assessments
Industry engagement
Analysis
Research
Market research and analysis
Data analytics
Executive level reporting
Presentations
Independent work
Risk-based decision making
Collaboration
Team building
Written communication
Verbal communication
Interpersonal skills
Organizational skills
Attention to detail
Complex assignment administration
Deadline execution

Location

CO
FL
TX
IL
PA
MA
MD
VA
Washington, DC
NY
NJ

Work Type

Hybrid work environment

Experience Level

Minimum of eight years of experience
Seasoned individual contributor
Developing subject matter expert

Education Level

Bachelor's Degree
Advanced degree preferred
Relevant industry certification(s) preferred

Salary/Compensations

CO/FL/TX: $114,200 - $207,200
IL/PA: $125,900 - $228,000
MA/MD/VA/Washington, DC: $131,200 - $238,300
NY/NJ: $131,200 - $248,700

Benefits

Discretionary bonus
Overtime pay
Comprehensive health insurance
Dental insurance
Vision insurance
Basic life insurance
Accidental death and dismemberment insurance
Supplemental life insurance
Spouse/domestic partner and dependent life insurance
Spouse/domestic partner and dependent accidental death and dismemberment insurance
Short-term disability
Long-term disability
Long-term care
Business travel accident insurance
Legal insurance
Immediate participation and vesting in a 401(k) plan with company match
Eligibility for an additional FINRA-funded retirement contribution
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance programs
Wellness programs
15 days of paid time off
5 personal days
9 sick days
Two volunteer service days
Military leave
Jury duty leave
Bereavement leave
Voting and election official leave
Care of a family member leave (after 90 days of employment)
Childbirth and parental leave (after 90 days of employment)
Nine paid holidays

About the Company

FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States.
FINRA protects investors and maintains market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), benefiting from SEC oversight.
As an investor guardian, FINRA is informed, but not influenced, by the industry it regulates.
FINRA’s independent regulation is critical to America’s financial system, at no cost to taxpayers.
FINRA touches virtually every aspect of the securities business, including registering and educating industry participants, examining securities firms, writing and enforcing rules, informing the public, providing trade reporting and industry utilities, and administering the largest dispute resolution forum.
FINRA uses powerful technology to look across markets and detect potential abuses.
FINRA detects insider trading and strategies used to gain unfair advantages through various data gathering techniques.
FINRA is a trusted advocate for investors, dedicated to keeping markets fair and proactively addressing emerging regulatory issues.
FINRA operates from Washington, DC, and New York, NY, with other offices nationwide.

Equal Opportunity

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.
FINRA strives to make its career site accessible to all users; disability-related accommodation for the application process can be requested by contacting FINRA’s Employee Relations team at 240-386-4865 or EmployeeRelations@FINRA.org.
FINRA abides by 41 CFR 60-741.5(a), prohibiting discrimination against qualified individuals on the basis of disability and requiring affirmative action.
FINRA abides by 41 CFR 60-300.5(a), prohibiting discrimination against qualified protected veterans and requiring affirmative action.