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Principal Intelligence Specialist, FIU - Any FINRA Location

Company: Finra
Location: Boca Raton
Posted on: January 15, 2022

Job Description:

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, business intelligence dashboards, 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; automate collection of information where possible.
  • Develops and analyzes information using SQL, Python, R, or similar tools, of all levels of risk and complexity.
  • Develops and conduct analysis using tools utilizing PowerBI, DataIku, and/or Domino for initiatives and stakeholders .
  • 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 that may include, but is not limited to: (1) reviews conducted in collaboration with Member Supervision examination staff (2) reviews conducted on matters originated by specialist unit (3) reviews conducted in relation to internal/external tips (4) reviews conducted related to referralsEducation/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.Compensation Range for Colorado locationsAnnual Salary: $84,300.00 - $151,900.00To be considered for this position, please submit an application.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.FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.Important InformationFINRA's 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 Code's investment and securities account restrictions, and new employees must comply with those investment restrictions-including disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice President-by 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 FINRA's Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company's policy on nepotism.Search Firm RepresentativesPlease 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 and Affirmative Action EmployerAll qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person's relatives, friends or associates.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. -2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Keywords: Finra, Boca Raton , Principal Intelligence Specialist, FIU - Any FINRA Location, Other , Boca Raton, Florida

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