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.

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.

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 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.

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.

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.

Designs and implements software across the SDLC, writes reusable and efficient code, improves product quality through testing and automation, builds developer tools and documentation, analyzes systems, collaborates with teammates, and supports operational excellence and security practices.

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 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.

Develop and maintain software throughout the SDLC, write reusable and efficient code, analyze systems, build developer tools and documentation, support testing and DevOps practices, and collaborate to meet team goals while applying computer science fundamentals.

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.

Lead and manage the Membership Application Program overseeing new and continuing FINRA membership applications, materiality consultations, waivers, and agreement updates. Provide operational leadership, supervise analysts, define standards and best practices, monitor metrics, ensure regulatory compliance, coordinate with FINRA and member firms, develop staff skills and training, and represent the department at conferences. Accountable for team hiring, performance management, and contributing to departmental compliance initiatives.

Lead and perform complex reviews of FINRA firms' public communications, coordinate joint evaluations with regulators, document findings, support examinations and disciplinary processes, mentor staff, and assist management with quality control, training, and policy input.

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

Design, build, and improve software products across the SDLC. Independently solve broad technical problems, define technical solutions, optimize performance, implement DevOps/CI/CD and test automation, ensure software security, and collaborate across teams to deliver high-quality features on schedule.

Create and manage internal communications and digital content for the Technology organization. Produce AI-assisted materials, maintain SharePoint and other channels, manage intake and workflows, analyze engagement metrics, support employee engagement programs and high-visibility campaigns, and partner with internal stakeholders to amplify tools and initiatives while ensuring accessibility, organization, and quality.