Jobs at FINRA

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.

Reviews retail and institutional communications, sales materials, prospectuses, websites, and investment product filings for compliance with FINRA, SEC, MSRB, and SIPC advertising regulations. Provides written compliance comments and required revisions, responds to inquiries, assists investigations, tracks regulatory changes, supports outreach initiatives, and performs special projects. Requires strong analytical, written, and oral communication skills, finance and securities knowledge, and familiarity with broker-dealer marketing practices.

Leads FINRA’s Strategic Intelligence team in identifying, analyzing, and predicting emerging risks, threats, regulatory trends, and critical events. Develops intelligence frameworks, collection strategies, standards, and dissemination processes while overseeing strategic intelligence products and assessments. Builds partnerships with regulatory teams, member firms, law enforcement, and government intelligence organizations. Advises senior leadership, drives intelligence program improvements, leads training and industry engagements, and translates complex intelligence into actionable insights.

Leads FINRA’s Strategic Intelligence function, managing senior managers and analysts across the intelligence cycle. Directs emerging-risk and threat analysis, intelligence collection, assessments, briefings, and dissemination. Advises senior leadership, develops risk-management strategies, drives cross-functional initiatives, and represents FINRA with member firms, law enforcement, and government intelligence partners. Oversees operational planning, stakeholder relationships, training, and intelligence-sharing activities supporting regulatory decisions, investor protection, and market integrity.

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.