<p>In support of Market Regulation regulatory 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 Market Regulation 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 Director and Vice President level Market Regulation Department (MRD) 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 MRD's 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 MRD's investigatory and surveillance functions and program. The senior principal strategic research analyst will work closely with Surveillance Research Methodologies and Governance team members on identifying and taking advantage of trends in the regulatory, data, analytic and machine learning domains.</p> <p>Essential Job Functions:</p> <ul> <li>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. </li><li>Provide clear and concise written and visual artifacts supporting analysis performed to senior MRD personnel. </li><li>Participate in and/or lead efforts in the enhancements and envision the evolution of the MRDs' surveillance investigatory program in response to market trends and developments. </li><li>Provide efficient quantitative support for market studies, examinations, and ongoing investigations. </li><li>Identify areas and problems within the MRD business domains that can be solved with Machine Learning solutions. </li><li>Assist in performing regulatory impact assessments of the industry's, FINRA's, and RSA clients' initiatives on the MRD's Cross-Market and SRO-specific programs. </li><li>Adapt MRD's investigatory, referral and examination program to new rules and initiatives. </li><li>Support management and others to inform internal and external constituents on overall program vision, strategy, operations, processes, and implementation status. </li><li>Support the comprehensive and successful execution of the team's programs in an efficient and effective manner. </li><li>Participate in and/or lead efforts in ad hoc special projects and national initiatives, as requested. </li></ul> <p>Other Responsibilities:</p> <ul> <li>Ensure all assigned activities are completed according to prescribed policies and standards. </li><li>Coordinate and provide status reports of assigned tasks or projects. </li><li>Maintain current knowledge of applicable business activities. </li><li>Fulfill administrative reporting tasks. </li></ul> <p>Education/Experience Requirements:</p> <ul> <li>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. </li><li>Advanced degree is highly desirable. </li><li>Must have strong statistical and software engineering skills and have substantial experience in analyzing large amounts of data in an efficient and scalable manner. </li></ul> <p>Working Conditions:</p> <ul> <li>Work is normally performed in an office environment. </li><li>Some travel is required. </li></ul> <p>For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate's skill set, level of experience, education, and internal peer compensation comparisons.</p> <p>CA: Minimum Salary $150,600, Maximum Salary $305,000</p> <p>CO/HI/MN/VT*: Minimum Salary $131,100, Maximum Salary $254,000</p> <p>IL*: Minimum Salary $144,000, Maximum Salary $279,500</p> <p>Jersey City, NJ/NYC, NY: Minimum Salary $157,300, Maximum Salary $305,000</p> <p>MA/WA: Minimum Salary $131,100, Maximum Salary $292,300</p> <p>MD/Washington, DC: Minimum Salary $150,600, Maximum Salary $292,300</p> <p>NJ State: Minimum Salary $144,000, Maximum $305,000</p> <p>NY State: Minimum Salary $131,100, Maximum Salary $305,000</p> <ul> <li>Including positions performed outside the state but reporting to an office or manager in that state. </li></ul> <p>Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.</p> <p>#LI-Hybrid</p> <p>To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.</p> <p>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.</p> <p>Please note: If the "Apply Now" button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.</p> <p>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 Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations.</p> <p>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.</p> <p>Time Off and Paid Leave*</p> <p>FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 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.</p> <ul> <li>Based on full-time schedule </li></ul> <p>Important Information</p> <p>FINRA'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.</p> <p>You can read more about these restrictions here.</p> <p>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.</p> <p>Search Firm Representatives</p> <p>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.</p> <p>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 Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations.</p> <p>All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws.</p> <p>FINRA abides by the requirements of 41 CFR 60-741.5(a). 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