Senior Principal, MRS Strategic Innovation & Research

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.

Responsibilities

• Develops 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.
• Conducts detailed market research and analysis to support fact-based evaluations, including current market offerings, stakeholder needs, competitive landscape, implementation costs, and projected revenue.
• Engages 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.
• Collaborates with FINRA business units to identify existing functions, roles, and process flows that can be leveraged to support new product development and delivery.
• PARTNERS WITH FINRA BUSINESS UNITS TO IDENTIFY EXISTING FUNCTIONS, ROLES, AND PROCESS FLOWS THAT CAN BE LEVERAGED TO SUPPORT NEW PRODUCT DEVELOPMENT AND DELIVERY.
• Evaluates strategic fit of opportunities against FINRA's guiding principles for investment decisions, ensuring alignment with organizational mission, priorities, and risk tolerance.
• Synthesizes research findings and stakeholder input into clear, actionable recommendations that inform executive decision-making on product development and strategic investments.
• Demonstrates FINRA’s values.
• Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

  Requirements

  • Bachelor's Degree and a minimum of eight (8) years of experience in securities, compliance or financial regulation required; or an equivalent combination of education and directly related experience.
  • Advanced degree and/or relevant industry certification(s) preferred.
  • Advanced knowledge of equity, debt, and listed derivatives markets, industry trends, and the regulation and operation of U.S. broker-dealers, as well as 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 with 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, with excellent written and verbal communication, interpersonal, and presentation skills.
  • Exceptional organizational skills, with an attention to detail and an ability to administer multiple complex assignments concurrently and execute against tight deadlines.
  • Able to interact effectively and in a positive manner with people from a variety of backgrounds in order to reach timely, informed decisions.
  • FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

    Qualifications

    • Education/Experience Requirements: Bachelor's Degree and a minimum of eight (8) years of experience in securities, compliance or financial regulation required; or an equivalent combination of education and directly related experience.
    • Advanced degree and/or relevant industry certification(s) preferred.
    • Advanced knowledge of equity, debt, and listed derivatives markets, industry trends, and the regulation and operation of U.S. broker-dealers, as well as 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 with 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, with excellent written and verbal communication, interpersonal, and presentation skills.
    • Exceptional organizational skills, with an attention to detail and an ability to administer multiple complex assignments concurrently and execute against tight deadlines.
    • Able to interact effectively and in a positive manner with people from a variety of backgrounds in order to reach timely, informed decisions.
    • FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

      Skills

      Not specified.

      Benefits

      Not specified.

      Pay

      Not specified.

      Schedule

      Not specified.