Search the 14 jobs at FINRA

The Principal Analyst in FINRA's Department of Market Regulation and Transparency Services is responsible for providing strategic advice on complex reporting and technological issues, assisting with business program projects, preparing and distributing metrics, managing complex issues, collaborating with teams, and maintaining systems.

The HR Communications Strategist is responsible for developing and implementing communications strategies for the People Solutions department. This role involves collaborating with leadership teams, creating content, and driving employee engagement through effective communication plans.

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.

Conduct routine surveillance reviews to identify unusual market activity for violations of securities rules. Develop new analytics and surveillance tools to detect fraudulent activity and prepare detailed reports. Participate in special projects and demonstrate subject matter expertise in coaching and training colleagues.

Responsible for conducting risk monitoring activities, analyzing regulatory intelligence, and collaborating with internal departments. Mentoring junior staff, leading special projects, and performing as part of a team in monitoring assigned firms' risks.

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.

Conduct routine surveillance reviews to identify unusual market activity for evidence of violations of federal securities and client rules. Assist in analyzing trading activity, drafting summaries, testing new analytics, and presenting findings to management. Stay current on industry trends and regulatory impacts. Hybrid work environment with potential travel requirements.

The Helpline Analyst will provide specialized technical support to the Consolidated Audit Trail (CAT) Industry Members, conduct research, resolve issues, and document inquiries. Responsibilities include interfacing with industry members, providing customer service, developing proficiency in SEC Rule 613 and CAT NMS Plan rules, mentoring junior analysts, and providing end user training.

Lead Developer responsible for developing, testing, debugging, and documenting software components independently. Directs development staff and serves as a technical subject matter expert. Creates software engineering strategies, leads code reviews, mentors junior staff, and participates in process improvement initiatives. Requires Bachelor's degree in Computer Science with 7 years of experience, proficiency in Java, Scala, and Python, and experience in enterprise quality solutions.

Conduct routine surveillance reviews to identify market violations, research rules and regulations, develop new analytics tools, prepare detailed reports, and work on special projects. Requires 4 years of experience in the securities/financial services industry.

The Senior Analyst, Private Placement reviews corporate financing activity for compliance with FINRA and SEC rules, conducts investigations, prepares reports, and responds to inquiries. Requires a Bachelor's Degree and at least 3 years of related industry experience. JD or MBA preferred. Excellent communication skills, knowledge of finance, securities, FINRA, and SEC rules.

The Manager is responsible for leading and managing staff conducting reviews and investigations of private placement filings to ensure regulatory compliance. They oversee the day-to-day program functions, address regulatory risks, monitor work quality and timeliness, provide training, and facilitate communication with various departments. This role requires mastery of technical business knowledge and managerial skills.

Assists in defining product and feature requirements, communicates with user experience and technology teams, gathers user feedback, supports product portfolio management and planning, facilitates product development, supports launches, and assists with product operation and metrics tracking.

Lead Big Data Developer responsible for developing, testing, and documenting software components, serving as a technical expert, designing complex components, mentoring junior staff, and participating in process improvement initiatives.