Jobs at FINRA

Designs, maintains, and delivers training for Dispute Resolution Services staff across regional offices and job levels. Develops onboarding, procedural, policy, refresher, and just-in-time training in partnership with Quality Control, senior management, and People Solutions. Identifies skill gaps and operational risks, supports real-time assignments, and translates complex regulatory and dispute-resolution material into accessible instruction. Requires strong analytical, research, communication, relationship-building, and independent problem-solving skills.

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.

Guide technology product features through scoping, requirements gathering, development, testing, and production rollout. Represent business users, conduct interviews and research, document enhancements, analyze processes and data using SQL, coordinate across departments, support user acceptance testing and demonstrations, and collaborate with developers and senior business analysts using Agile practices.

Lead enterprise test automation strategy across FINRA application teams, including Workday HCM and Finance systems. Build and maintain automation frameworks and test cases, mentor engineers, define functional, integration, regression, and performance testing practices, establish quality metrics, and promote shift-left testing. Collaborate with multiple teams and executive stakeholders while reviewing automation code and evaluating testing tools. The role requires strong Java development, QA leadership, cloud, DevOps, performance optimization, and software security experience.

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.

Provides specialized technical and functional support to CAT industry members and regulatory users. The analyst handles inquiries, researches and resolves moderately complex issues, documents requests in a CRM, assists with validation and linkage error corrections, tracks trends, delivers training, and escalates complex matters. The role requires developing knowledge of SEC Rule 613, CAT NMS Plan requirements, securities markets, and member-firm operations while mentoring junior analysts and collaborating with internal and external stakeholders.

Leads strategic initiatives and project delivery for FINRA’s Consolidated Audit Trail. Manages requirements gathering, business requirements, UAT design and execution, regulatory inquiries, quantitative research, technical documentation, and stakeholder communications. Serves as a CAT subject matter expert, translates business and technology needs into deliverables, resolves complex reporting and data issues, mentors analysts, and provides recommendations to senior management.

Provides specialized technical and functional support to CAT industry members. Responsibilities include intake, research, resolution, and documentation of moderately complex issues; assisting with validation and linkage error corrections; recording inquiries in CRM; tracking trends in spreadsheets; providing training; and developing expertise in SEC Rule 613, CAT NMS Plan rules, and technical specifications. The role collaborates with regulatory stakeholders, mentors junior analysts, and delivers customer service in a hybrid environment.

Leads the vision, strategy, roadmap, and feature definition for FINRA’s Graph Solutions Platform and its integration with generative AI. Translates regulatory challenges into graph-enabled investigative analytics, manages prioritization and product launches, coordinates cross-functional development, monitors product performance, and drives continuous improvement. Partners with regulatory operations, technology, UX, architecture, and senior leadership while coaching junior product managers.

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.

Monitor intra-day trading and alerts across FINRA trade reporting facilities, resolve real-time issues, respond to member and SRO inquiries, maintain supporting databases and records, prepare clear summaries for leadership, assist junior analysts, and contribute to analytics tool and operational methodology development to support market integrity and investor protection.

Support and administer Total Rewards (compensation and benefits) programs and systems, including leave administration, benefits enrollment, compensation cycles, vendor coordination, UAT and training, data consolidation and benchmarking, communications, event and project support, and continuous improvement to ensure compliance and high-quality service delivery.

Support and monitor FINRAs Criminal Justice Information (CJI) program, ensuring CJIS/NIST compliance. Coordinate CJI training, compile audit evidence, analyze fingerprint-channeler SLA reports, track KPI/OKR performance, investigate potential CJI incidents, maintain program content, and support audits and remediation.

Serves as FINRA’s liaison on state legislative and regulatory matters. Monitors initiatives affecting securities regulation, prepares comment letters and testimony, advises executives, manages stakeholder and regulator relationships, oversees lobbying consultants, and negotiates complex inter-organizational issues. Represents FINRA at conferences and events while providing timely regulatory guidance across the organization. The role requires independent judgment, strong securities regulation knowledge, excellent communication, and collaboration in a hybrid environment.

Lead Workday Finance configuration, reporting, integrations, and tenant management. Translate finance requirements into Workday designs, support releases and close processes, troubleshoot production issues, drive data governance, mentor junior analysts, and support implementations and continuous improvement across all Workday Finance modules.

Leads vision, strategy, roadmaps, backlogs, requirements, prioritization, development, launches, and ongoing performance for multiple market surveillance products. Uses user research, data analytics, and stakeholder insight to guide product decisions, coordinate cross-functional teams, resolve escalated issues, and improve product outcomes. Coaches junior product managers and supports continuous improvement across the product development process.

Coordinates all phases of mediation cases, including party solicitation, mediator selection, scheduling, documentation, correspondence, financial review, case tracking, and disposition. Provides customer service, resolves complex inquiries, supports special projects, and trains or guides staff and mediators. Maintains accurate case records and collaborates with internal and external stakeholders in hybrid work environments.

Leads enterprise identity and access management initiatives, designing SailPoint IdentityIQ solutions, custom Java development, connectors, workflows, and role models. Builds AWS and Azure access automation with Python and PowerShell, administers AWS IAM and Active Directory integrations, and resolves complex identity issues. Partners with security and compliance teams on governance, audit documentation, secure coding, and access controls. Mentors engineers, leads cross-functional Agile projects, and communicates IAM architecture to technical and nontechnical stakeholders.

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.