Jobs at FINRA

Lead FINRA's Risk & Intelligence division overseeing risk monitoring, intelligence, emerging threat analysis, and membership application review. Set strategic vision, advise executives and the Board on systemic risks, modernize analytics and AI capabilities, enable cross-organizational intelligence sharing, and recruit and develop multidisciplinary teams.

The Director of Brand & Creative defines and evolves the brand's visual identity, leads the creative team, manages brand strategy across channels, and ensures effective brand expression.

Lead design, development, and improvement of enterprise software and SDLC processes. Oversee system architecture, identify gaps, implement cloud-based and big data solutions, manage DevOps/tooling, mentor engineers, and recommend improvements to ensure secure, scalable, and high-quality products.

Lead and manage technology teams delivering projects across strategy, software development, operations, engineering, security, and compliance. Own delivery, risk mitigation, budgeting, vendor negotiations, and adherence to FINRA standards. Drive process improvements, evaluate new technologies, report to senior leadership, and support DR/BCP and SOX testing. Hire, coach, and manage staff, coordinate assignments, and ensure teams implement industry best practices.

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.

Lead enterprise privacy governance, assessments, and incident response. Manage privacy technology, stakeholder engagement, and data governance alignment. Establish metrics and reporting to executives and Board, oversee staffing, budget, and remediation of privacy incidents, and ensure compliance with privacy regulations and best practices.

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

Conduct qualitative market research and regulatory risk analysis to inform regulatory strategy. Produce regular reports, presentations, and SWOT analyses for senior leadership and Surveillance business lines. Support SEC inspections, internal audits, cross‑organization responses to market events, and enterprise risk assessments. Collaborate with stakeholders to prioritize issues and develop strategic goals.

Lead engineer responsible for designing, developing, and optimizing petabyte-scale distributed data processing systems (Hadoop/Spark/Hive/Trino) on AWS. Leads performance tuning, system architecture, DevOps/CI-CD, security, AI tool adoption, and mentors engineers to improve product quality and delivery.

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.

Lead FINRA's HR operations, overseeing HR Shared Services, HR PMO, vendor management, business continuity, and operational policies. Provide strategic counsel to senior leaders, drive HR transformation using systems and analytics, manage budgets and teams, and ensure compliance and service excellence across HR programs.

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 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 Senior Systems Administrator/Engineer designs, implements, and maintains Linux infrastructure while employing DevOps practices and ensuring operational excellence using AI and automation tools.

Serve as Workday Finance subject-matter expert to design, configure, test, and deploy Workday Finance solutions. Translate business requirements into functional designs, build reports and integrations, manage tenants and release cycles, ensure data governance, support period-end close, troubleshoot production issues, and mentor junior analysts. Participate in implementations and drive continuous improvement across finance modules.

The Associate Principal Analyst reviews advertising materials for compliance with regulatory standards, mentors junior staff, and ensures quality and timely responses to inquiries.

The Manager, Social Media will develop and execute social media strategy, create content, manage engagement, and optimize performance to enhance FINRA's voice across channels.

Lead regulatory risk assessment and strategy for Surveillance by conducting market research, managing analysts, producing executive reports, advising senior leadership, coordinating with regulators (SEC) and internal stakeholders, driving process improvements, supporting inspections/audits, and representing FINRA in external engagements to protect investors and ensure market integrity.