Jobs at FINRA

Leads strategic research and quantitative surveillance initiatives involving market manipulation, regulatory investigations, large distributed datasets, statistical analysis, and machine learning. Designs scalable analytical solutions, presents findings to senior personnel, supports regulatory impact assessments, recommends strategic data procurement, and contributes to surveillance program evolution and special projects.

Directs FINRA’s Risk Monitoring Program for a business segment, supervising analysts and overseeing risk assessments, regulatory responses, examination strategies, corrective actions, and monitoring of member firms. Leads issue identification, stakeholder coordination, staff development, hiring, special projects, and technology initiatives. Represents senior leadership with firms and regulatory agencies, ensures compliance with securities regulations, and provides strategic guidance on emerging industry risks.

Leads FINRA’s strategic intelligence function, overseeing teams that identify, analyze, and predict threats, emerging risks, and regulatory trends affecting financial markets. Develops intelligence frameworks, collection strategies, assessments, briefings, and executive communications. Advises senior leadership, collaborates with regulators and law enforcement, manages organizational resources, and builds high-performing intelligence teams. Requires extensive intelligence expertise, financial regulatory knowledge, strategic leadership, and the ability to translate technical analysis into actionable insights.

Leads FINRA’s trading and product risk intelligence function, overseeing experts who identify, analyze, and predict regulatory trends, market risks, threats, and critical events. Develops intelligence products and strategic assessments for senior leaders and regulatory stakeholders, establishes collection and dissemination frameworks, and builds relationships with regulators, law enforcement, exchanges, and industry participants. Manages team strategy, staffing, budgets, talent development, and cross-functional initiatives supporting investor protection and market integrity.

Designs, maintains, and delivers training for Dispute Resolution Services staff across regional offices and job levels. Develops onboarding, procedural, policy, refresher, and just-in-time training in partnership with Quality Control, senior management, and People Solutions. Identifies skill gaps and operational risks, supports real-time assignments, and translates complex regulatory and dispute-resolution material into accessible instruction. Requires strong analytical, research, communication, relationship-building, and independent problem-solving skills.

Conducts complex regulatory analyses of FINRA firms’ public communications, coordinates examinations with internal departments and regulators, documents findings, and supports disciplinary actions. Reviews analytical sign-offs for accuracy and rule application, trains and coaches staff, monitors workflow, contributes to policy and rule development, represents the department at conferences, and handles special projects. Requires expertise in securities, broker-dealer services, advertising regulations, and FINRA, SEC, MSRB, and SIPC rules.

Lead Workday Finance configuration, reporting, integrations, and tenant management. Translate finance requirements into Workday designs, support releases and close processes, troubleshoot production issues, drive data governance, mentor junior analysts, and support implementations and continuous improvement across all Workday Finance modules.

Coordinates all phases of mediation cases, including party solicitation, mediator selection, scheduling, documentation, correspondence, financial review, case tracking, and disposition. Provides customer service, resolves complex inquiries, supports special projects, and trains or guides staff and mediators. Maintains accurate case records and collaborates with internal and external stakeholders in hybrid work environments.

As a Cyber Awareness and Training Lead, you will design cybersecurity tabletop exercises, provide incident management guidance, drive examinations, educate members, and consult on high-stakes issues to enhance industry cyber resilience.

The Associate Principal Analyst reviews advertising communications for compliance with regulations, mentors staff, and conducts complex reviews of materials while responding to inquiries.

Lead and perform complex reviews of FINRA firms' public communications, coordinate joint evaluations with regulators, document findings, support examinations and disciplinary processes, mentor staff, and assist management with quality control, training, and policy input.