Jobs at FINRA

Conduct surveillance reviews of trading activity to detect potential securities rule violations; research and update on rules and advisories; develop and test analytics and surveillance tools; document findings and referrals; prepare detailed reports; coach and train colleagues; and complete special projects to support market integrity and regulatory objectives.

Lead regulatory risk assessment and strategy for Surveillance by conducting market research, managing analysts, producing executive reports, advising senior leadership, coordinating with regulators (SEC) and internal stakeholders, driving process improvements, supporting inspections/audits, and representing FINRA in external engagements to protect investors and ensure market integrity.

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.

The Associate Principal Analyst reviews advertising materials for compliance with regulatory standards, mentors junior staff, and ensures quality and timely responses to inquiries.

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.