Search the 25 jobs at FINRA

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.

Responsible for conducting routine surveillance reviews to identify unusual market activity for violations of securities regulations. Analyzes trading activity, researches rules and regulations, and prepares detailed reports. Works on special projects, remains current on industry trends, and collaborates with colleagues.

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.

Senior Communications Specialist role creating and editing content for various channels within Member Supervision. Collaborates with stakeholders to implement communication strategies aligning with FINRA's goals. Requires excellent writing, editing, and project management skills with a focus on financial industry knowledge.

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.

Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members. Collaborates with internal departments, mentors junior staff, and serves in leadership roles for special projects and technology initiatives. Requires advanced knowledge of FINRA's risk fundamentals, securities rules, and firm business models. Must have strong analytical, communication, and problem-solving skills.

The Associate Analyst, IRG, reviews incoming information, including routine filings and regulatory intelligence, to efficiently process lower-complexity items and identify those requiring additional assessment and investigation within Initial Review Group.

The Developer works under general supervision, developing, testing, debugging, and documenting software components. Review and analyze requirements, build, test, deploy, and document software components, interface with team members, participate in defect resolution, and contribute to process improvement initiatives.

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 Lead Network Engineer - Admin is responsible for managing network administrative duties, vendor support, and services contracts. They contribute to project engineering, deployment, and maintenance of network infrastructure. Responsibilities include troubleshooting network issues, collaborating with teams, and adhering to technology policies.

This Senior Analyst role in Member Supervision's Operations, Procedures and Standards team involves developing, implementing, and maintaining operations, procedures, standards, reporting, and regulatory initiatives. Responsibilities include enhancing processes, producing reporting, assessing procedures, and maintaining industry knowledge. The role also involves participating in regulatory change processes, facilitating meetings, and maintaining relationships with stakeholders. Education requirements include a Bachelor's degree in business or related field with a minimum of three years of directly related securities experience.

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.

FINRA is hiring a Program Manager in their Investor Education and Community Outreach group to enable, facilitate, and deliver financial capability programming at the community level, especially for historical underserved communities. Responsibilities include program management, grantmaking, overseeing evaluation efforts, and collaborating with internal and external stakeholders to advance financial inclusion objectives.

The Helpline Analyst will provide technical support to CAT Industry Members, resolve issues, document inquiries, and offer customer service. Responsibilities include interfacing with stakeholders, mentoring junior analysts, and developing proficiency in SEC Rule 613 and CAT NMS Plan rules.

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 robust investigations into employee complaints and allegations of misconduct. Provide guidance and resolution on a broad range of employee relations matters. Collaborate with key stakeholders to assess and mitigate legal, regulatory, and reputational risk.

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 Associate Principal Integration Specialist is responsible for supporting project delivery, defining strategic direction, and ensuring successful execution of critical initiatives. This role involves collaborating with stakeholders, developing strategic plans, leading projects, and communicating effectively with senior leaders and staff members. The individual will also contribute to business process improvements and support the development of target operating models.