Jobs at FINRA

Develop and maintain scalable Java and Spring Boot backend services, REST APIs, microservices, and event-driven workflows using AWS. Design data persistence across relational and NoSQL databases, optimize performance, improve CI/CD pipelines, and implement automated testing. Contribute to system design, technical documentation, developer tooling, security, and engineering quality while collaborating with peers and supporting team delivery.

Provides operational and functional support for CRED applications through reporting, data analysis, application monitoring, testing, issue resolution, and requirements gathering. Collaborates with business, technology, vendor, and internal stakeholders to resolve complex issues and improve processes. Maintains user entitlements, performs access audits, investigates data discrepancies, supports information governance, and contributes to application stability and compliance.

Develops and maintains software products across the software development life cycle. Writes reusable, efficient code; applies computer science fundamentals, system design, cloud, data storage, DevOps, testing, and security knowledge. Builds developer tools and documentation, supports quality delivery, collaborates with teammates, and adapts solutions to changing priorities. The role is hybrid, may require occasional travel and extended hours, and includes compliance with FINRA investment and confidentiality policies.

Conducts complex reviews and analyses of FINRA member firms’ public communications for compliance with securities advertising regulations. Coordinates evaluations with FINRA departments and other regulators, documents findings, supports disciplinary processes, reviews analytical quality, and provides staff training and coaching. The role also contributes to rule development, policy initiatives, conferences, and on-site examinations.

Leads end-to-end analytics projects for FINRA’s regulatory operations, including scoping quantitative methods, developing predictive pipelines, expanding data sources, and delivering analytics capabilities. Promotes advanced analytics adoption, supports cross-market surveillance, engages stakeholders, responds to research requests, and mentors analysts. Requires collaboration across delivery teams and participation in strategic analytics initiatives.

Leads end-to-end advanced analytics projects supporting regulatory operations and cross-market surveillance. Defines quantitative approaches, develops predictive pipelines, drives data and infrastructure availability, and delivers analytics capabilities across teams. Engages stakeholders, gathers use cases, provides research and insights, mentors analysts, and advances enterprise analytics strategy. Requires strong programming, machine learning, data mining, and analytical skills in a hybrid environment with occasional travel.

Leads enterprise WAF strategy, architecture, engineering, and operations, along with PKI, certificate lifecycle management, cryptography, cloud security, secure software development, and responsible AI adoption. Manages technical teams, budgets, vendors, staffing, compliance, disaster recovery, and business continuity activities. Establishes security best practices, evaluates emerging technologies, reports to senior leadership, and ensures reliable protection of applications and APIs across on-premises and cloud environments.

Leads strategic research and quantitative surveillance initiatives involving market manipulation, regulatory investigations, large distributed datasets, statistical analysis, and machine learning. Designs scalable analytical solutions, presents findings to senior personnel, supports regulatory impact assessments, recommends strategic data procurement, and contributes to surveillance program evolution and special projects.

Performs financial disclosure reviews, trading violation investigations, disgorgement calculations, prohibited securities waiver analysis, and compliance consultations. Maintains the Prohibited Company List, identifies system issues, develops policies and training materials, presents Code of Conduct guidance, and supports technology enhancements. Works independently with sensitive information while collaborating across departments and managing multiple priorities.

Conducts quality control reviews, statistical sampling, data analysis, and compliance checks across FINRA Information Operations systems and records. Identifies errors, trends, root causes, unauthorized access risks, and process gaps; maintains QC metrics and reports findings to leaders. Supports process improvement, risk mitigation, training, documentation updates, and expansion of quality coverage while collaborating across teams.

Provides operational support and optimization for Workday HRIS, including configuration, production issue resolution, data maintenance, reporting, integrations, UAT, data quality audits, documentation, training, and change management. Partners with HR, product, and engineering teams to translate business needs into requirements, implement enhancements, manage system releases, resolve data issues, and support Workday modules including Core HCM, Compensation, Benefits, Recruiting, Talent, and Performance.

Monitors trade reporting integrity and real-time data dissemination issues for regulatory compliance. Analyzes trade data and market events, develops KPIs and data collection methods, and delivers executive-level reporting and recommendations. Coordinates internal teams, external firms, and regulators during emergencies and industry initiatives. Provides subject matter expertise on securities market structure, SEC requirements, and FINRA regulations while supporting trading systems during extended hours and mentoring junior colleagues.

Deploys software to production, manages configuration and release deliverables, and serves as a release gatekeeper. Coordinates change management, peer reviews, defect resolution, release communications, and production deployment calls. Leads process improvement initiatives, mentors junior staff, supports security and FINRA controls, and manages complex releases in 24/7 environments. The role includes occasional travel, extended hours, rotational weekend and on-call duties, and hybrid work.

Leads Transparency Services business operations for FINRA, overseeing overnight responses to market halts, trade breaks, and extraordinary OTC trading conditions. Advises senior leaders on regulatory risks, directs investigative and surveillance workflows, manages participant data governance, and develops risk mitigation strategies. Influences internal teams, financial institutions, and regulators while managing managers and senior contributors through coaching and performance development. Supports audits, inspections, compliance activities, and external regulatory engagements in a 24-hour operating environment.

Monitors FINRA trade reporting facilities, reviews alerts, responds to member firm and vendor inquiries, identifies potential securities rule violations, documents activities, and prepares leadership reports. The role supports market integrity through regulatory analysis, database maintenance, process improvement, analytics tool testing, and policy development. It requires independent judgment, collaboration with senior staff, and scheduled coverage of trading systems during defined operating hours.

Monitors FINRA trade reporting facilities during extended hours, investigates alerts and inquiries, identifies potential securities rule violations, documents reviews, and communicates findings to leadership. The role supports member firms, vendors, exchanges, and regulatory organizations; maintains operational databases; contributes to policies, procedures, analytics tools, and process improvements; and applies FINRA and securities regulations to promote market integrity and investor protection.

Maintains and engineers operating systems, system software, monitoring tools, hardware, and data center infrastructure. Ensures reliability, performance, security, disaster recovery, and compliance standards. Develops scripts and test plans, performs hardware repairs, manages vendors and budgets, leads process improvements, documents metrics, collaborates across teams, and mentors junior staff. The role operates in a hybrid environment with occasional travel, extended hours, and rotational on-call duties.

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.

Leads business and data analysis for complex market data intake and processing projects. Analyzes processes, validates data with SQL, models data and processes, gathers requirements, supports product vision, prioritizes enhancements, and delivers analytics insights. Serves as a data subject matter expert, leads user acceptance testing and change management, develops training materials, and mentors analysts while partnering with stakeholders and technology teams.

Leads autonomous software engineering efforts focused on long-term outcomes and company-level technical expertise. Designs, tests, refines, and implements system improvements; addresses technical debt, performance, security, and engineering risks. Mentors colleagues, provides functional supervision, collaborates with stakeholders, and guides priorities. Requires advanced expertise in system design, object-oriented development, cloud technologies, data storage, DevOps, CI/CD, testing, and software security.