Associate Principal Analyst, Enterprise Strategy

The Associate Principal Analyst, Enterprise Strategy is a key contributor in helping to shape and execute FINRA’s long-term strategic initiatives. This role works closely with various departments across FINRA to support strategic alignment, monitor the progress of key initiatives, and provide insights that inform executive decision-making. This role will also support initiatives that improve organizational capabilities in areas such as Objectives and Key Results (OKRs) and measurement. This is a skilled individual contributor role working under general guidance.

Essential Job Functions:

• Create high-level presentations and comprehensive reports for executive leadership, the FINRA Board of Governors, and other external stakeholders, based on analysis of various data points and collaboration with Chiefs of Staffs and senior leaders across the enterprise.
• Support Enterprise Strategy in the ideation and implementation of enhancements to the enterprise strategic framework, processes, and tools.
• Assist key business stakeholders across departments in developing strategic plans and creating business cases to align fully with the organization’s overall strategic priorities.
• Collaborate with multiple departments to ensure OKRs are aligned and contribute to enterprise-wide goals. Lead cross-functional discussions and workshops to promote strategic alignment across the organization.
• Supports senior management and key stakeholders with the execution of strategy at the enterprise level by tracking key OKRs, metrics, and initiative progress. Provide data-driven recommendations to senior leadership to optimize outcomes.
• Lead training sessions to enhance FINRA staff strategic planning capabilities in areas such as OKRs and measurement.
• Conduct in-depth research on industry trends, emerging technologies, competitive developments, and regulatory changes that may affect FINRA’s strategic direction.
• Mentor and help train junior analysts, providing guidance and support.

Education/Experience Requirements:

• Bachelor’s degree in Business, Finance, Economics, or a related field, or equivalent combination of education and relevant experience. A Master’s degree (MBA or relevant field) is highly desirable.
• Minimum five (5) years of experience in strategy, management consulting, financial analysis, or a related role.
• Knowledge and understanding of the financial regulatory landscape.
• Strong analytical and problem-solving skills, with the ability to synthesize complex data into actionable insights.
• Exceptional communication skills, with experience presenting to senior leadership and preparing high-impact reports.
• Proficiency in Microsoft Excel, PowerPoint, List, and Power BI.
• Proven ability to manage multiple projects simultaneously in a fast-paced environment.
• Ability to work collaboratively in a team-oriented environment.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed 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.

CA: Minimum Salary $91,500, Maximum Salary $170,900

CO/HI/MN/VT*: Minimum Salary $79,500, Maximum Salary $142,300

IL*: Minimum Salary $87,500, Maximum Salary $156,600
Jersey City, NJ/NY, NY: Minimum Salary $95,400, Maximum Salary $170,900

MD/Washington, DC: Minimum Salary $91,500, Maximum Salary $163,700
WA: Minimum Salary $79,500, Maximum Salary $163,700

*Including positions performed outside the state but reporting to an office or manager in that state.

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.

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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.

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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 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.

*Based on full-time schedule

Important Information

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.

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 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 and Affirmative Action Employer

All 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.

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