Jobs at FINRA

Provides first-level desktop and help desk support for hardware, software, printing, and applications. Resolves user issues remotely or by guiding users through solutions, documents cases, escalates complex problems, provides end-user training, and follows technology policies and security controls. Works under direct supervision in a hybrid environment while developing technical proficiency.

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.

Provides high-level administrative support to the EVP and other senior executives, including complex calendar management, correspondence, meeting and Board meeting coordination, travel logistics, expense reporting, records management, presentation assistance, and confidential communications. The role requires discretion, sound judgment, strong organization, flexibility, and occasional travel in a hybrid 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.

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.

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.

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.

Leads FINRA’s strategic intelligence function, overseeing teams that identify, analyze, and predict threats, emerging risks, and regulatory trends affecting financial markets. Develops intelligence frameworks, collection strategies, assessments, briefings, and executive communications. Advises senior leadership, collaborates with regulators and law enforcement, manages organizational resources, and builds high-performing intelligence teams. Requires extensive intelligence expertise, financial regulatory knowledge, strategic leadership, and the ability to translate technical analysis into actionable insights.

Leads FINRA’s trading and product risk intelligence function, overseeing experts who identify, analyze, and predict regulatory trends, market risks, threats, and critical events. Develops intelligence products and strategic assessments for senior leaders and regulatory stakeholders, establishes collection and dissemination frameworks, and builds relationships with regulators, law enforcement, exchanges, and industry participants. Manages team strategy, staffing, budgets, talent development, and cross-functional initiatives supporting investor protection and market integrity.

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.

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.

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.

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.