Jobs at FINRA

The Senior Analyst conducts market surveillance to identify violations, assists projects for analytics, drafts updates, and presents findings to management.

The HR Specialist supports workforce analytics and reporting via Workday, ensuring data accuracy and stakeholder support for HR decisions.

The Analyst supports Corporate Actions processes, assists with submissions, maintains databases, and collaborates with teams for operational functions in the OTC market.

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 conducts surveillance reviews, analyzes trading activity for violations, updates internal guidelines, develops analytics, and prepares reports. They also provide training and work on special projects.

The Senior Analyst conducts surveillance reviews to identify market activity violations, analyzes trading activity, and develops analytics tools to combat fraud.

Lead product initiatives for OCLO to deliver legal-technology solutions. Manage product lifecycle, stakeholder engagement, vendor selection, governance, adoption, and reporting/analytics to improve efficiency and meet strategic goals.

Lead strategy, operations, and technical oversight of an enterprise-wide knowledge management system. Manage content, taxonomy, training, stakeholder collaboration, KMS maintenance, search and data curation, and reporting to ensure accurate, user-focused regulatory guidance.

The Lead GenAI Backend Platform Software Engineer develops scalable software solutions, leads architectural design, ensures product quality, and mentors team members.

The Lead Software Engineer manages software development projects, mentors team members, and enhances product quality through improvement initiatives and best practices.

The Senior Principal Analyst conducts market research and analysis to identify opportunities for MRS, collaborating across teams to expand services and enhance product offerings within FINRA's strategic framework.

The Staff Software Engineer develops software products, improves product quality in the software development life cycle, and collaborates with peers on various technical tasks and documentation.

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

The role involves managing test items for exams, overseeing committee productivity, conducting job analyses, updating content outlines, and responding to exam inquiries. Strong communication and project management skills are essential.

Lead IAM initiatives, develop Java-based solutions, build cloud access automation with Python/PowerShell, manage provisioning workflows, mentor teams, enforce compliance standards.

The Associate General Counsel directs regulatory policy adoption, advises on legal complexities, oversees rulemaking, and represents FINRA on industry issues. Requires extensive legal experience and expertise in securities regulations.

The Associate Principal Analyst conducts reviews of corporate financing filings, analyzes compliance with regulations, provides feedback, and supports workflow management and training. Responsibilities include monitoring filings for violations, drafting correspondence, coaching junior staff, and participating in meetings and initiatives.

The Senior Risk Management Analyst reviews daily operations, conducts quality control, analyzes data for compliance, and maintains procedures, focusing on accuracy and risk reduction.

The Lead Java Software Engineer develops software products, improves quality throughout the development cycle, and mentors engineers with expertise in Java, AWS, and backend technologies.

The Lead Developer oversees software development teams, designs complex software components, mentors junior staff, and ensures adherence to quality standards and FINRA regulations.