Teams at FINRA

Lead and execute risk monitoring for complex member firms, identify emerging risks, coordinate cross-functional analysis, mentor junior staff, lead projects and technology initiatives, and deliver regulatory recommendations to protect investors and market integrity in a hybrid work environment.

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.