Search the 19 jobs at FINRA

Senior Analyst role in Market Regulation conducting surveillance reviews to identify market violations, analyze trading activity, and present findings. Requires Bachelor's degree and 3 years of experience in securities/financial services industry. Must have knowledge of surveillance development lifecycle, FINRA rules, and ability to identify rule violations.

The Technology Manager: Cyber Risk & Secure Configuration oversees and supervises a Technology operational team, focusing on system security, risk management, service levels, and team leadership. This role involves evaluating cyber risks, developing security guidelines, managing resources, and ensuring technology best practices. The manager also collaborates with vendors, supports disaster recovery planning, and maintains compliance with security controls and industry standards.

The Helpline Analyst will provide specialized technical support to the Consolidated Audit Trail (CAT) Industry Members, conduct research, resolve issues, and document inquiries. Responsibilities include interfacing with industry members, providing customer service, developing proficiency in SEC Rule 613 and CAT NMS Plan rules, mentoring junior analysts, and providing end user training.

Lead Developer responsible for developing, testing, debugging, and documenting software components independently. Directs development staff and serves as a technical subject matter expert. Creates software engineering strategies, leads code reviews, mentors junior staff, and participates in process improvement initiatives. Requires Bachelor's degree in Computer Science with 7 years of experience, proficiency in Java, Scala, and Python, and experience in enterprise quality solutions.

Conduct routine surveillance reviews to identify unusual market activity for evidence of violations of securities rules and regulations, analyze trading activity, draft internal summaries, assist in developing new analytics tools, and present investigative findings to management.

Senior Analyst position responsible for conducting routine surveillance reviews to identify unusual market activity for evidence of violations of securities regulations. Assists with analyzing trading activity, drafting summaries, developing surveillance tools, and presenting findings to management. Requires a Bachelor's degree and a minimum of three years of experience in the securities/financial services industry.

The Associate Product Manager assists with defining product and product feature requirements, gathering user insights, and supporting product development. They work closely with cross-functional teams to ensure successful product launches and ongoing operations.

Lead Network Automation Engineer responsible for developing and maintaining network management systems, troubleshooting complex network issues, collaborating with teams, and mentoring junior staff. Strong programming and scripting skills required, with expertise in Python, PHP, Perl, SQL, and Unix/Linux administration. Experience with AWS, Azure, SNMP, Docker, DNS, and network protocols essential.

The Associate Manager, Executive and Stakeholder Communications role involves developing and editing key messaging for executive communications, managing inquiries and speaking events for the CEO, and overseeing stakeholder communications materials. The position requires strong writing, editing, and organizational skills with attention to detail.

The Senior Analyst in Corporate Financing Public Offerings is responsible for analyzing complex and high-profile public offering transactions, ensuring compliance with FINRA and SEC rules, drafting comment letters, conducting investigations, and supporting enforcement activities.

The Principal Analyst in the Metrics and Reporting team is responsible for providing strategic advice on reporting and technological issues, managing complex problems, collaborating with internal teams, and maintaining systems and reference data. The role requires experience in business processes, business requirements analysis, and securities market structure issues. Strong communication skills are essential for this senior-level position.

The Crypto Principal Analyst at FINRA is responsible for identifying risks, developing regulatory strategies, and ensuring regulatory programs align with departmental goals. This role requires a highly proficient level of knowledge in business conduct risk, risk analysis, and securities industry rules. The analyst will lead in reviewing complex applications, provide guidance, and support in-house training initiatives.

The Accommodations Manager is responsible for planning, developing, implementing, and managing a variety of disability accommodation requests in alignment with the Americans with Disabilities Act (ADA).

Conduct routine surveillance reviews of moderate to high complexity to identify unusual market activity for evidence of violations of applicable federal securities, FINRA and/or RSA client rules and regulations. Analyze trading activity, research and provide updates, develop new analytics, and prepare detailed reports. Demonstrate subject matter expertise, coach colleagues, and work on special projects.

The Associate Principal Analyst in the Surveillance and Market Intelligence section of Market Regulation conducts routine surveillance reviews to identify unusual market activity and potential violations of securities regulations. Responsibilities include analyzing trading activity, researching regulations, preparing reports, and participating in special projects. The position requires a Bachelor's degree and a minimum of four years of experience in the securities/financial services industry.

The Senior Analyst, Private Placement reviews corporate financing activity for compliance with FINRA and SEC rules, conducts investigations, prepares reports, and responds to inquiries. Requires a Bachelor's Degree and at least 3 years of related industry experience. JD or MBA preferred. Excellent communication skills, knowledge of finance, securities, FINRA, and SEC rules.

Lead Big Data Developer responsible for developing, testing, and documenting software components, serving as a technical expert, designing complex components, mentoring junior staff, and participating in process improvement initiatives.

Experienced Principal Analyst in Member Supervision Operations, Procedures, and Standards (MS OPS) responsible for developing and maintaining operations, procedures, standards, and reporting. Evaluate program for improvements, resolve operational issues, and lead regulatory initiatives. Partner with key stakeholders to enhance processes and controls. Communicate updates, train staff, and produce reports. Provide support in developing operational metrics and lead special projects. Coach junior colleagues and demonstrate inspirational leadership.

Seeking a Senior Developer with expertise in Java, AWS, CI/CD, and DevOps to work on ERP projects. Responsibilities include design, development, testing, and documentation of software components, leading peer reviews, and mentoring junior staff. Requires a Bachelor's degree in Computer Science and at least 5 years of related experience.