Jobs at FINRA

Leads software product development across the SDLC, including system design, Java development, cloud architecture, DevOps, test automation, performance optimization, security, and software environment management. Oversees processes and projects, identifies technical gaps, recommends system improvements, develops reliable solutions, analyzes engineering trends, and mentors colleagues. The role is hybrid in Tysons, Virginia, requiring work onsite three days weekly.

Administers FINRA employee financial disclosure and trading restriction compliance. Reviews account disclosures, investigates trading violations, evaluates waiver requests, calculates disgorgements, maintains prohibited securities lists, and prepares compliance guidance and training materials. The role consults with employees and managers, supports technology enhancements, monitors junior analysts, and handles sensitive financial information confidentially.

Manages day-to-day HR operations across areas such as compensation, benefits, staffing, training, and organizational development. Leads strategic programs, cross-functional initiatives, and teams; establishes performance metrics; aligns HR priorities with business objectives; advises senior leaders; improves processes through technology; manages vendors; and builds relationships across the organization.

Leads vision, strategy, roadmaps, prioritization, development, launches, and ongoing performance for multiple or complex products. Defines requirements, manages backlogs, conducts user research, coordinates cross-functional teams, resolves delivery issues, monitors metrics, and drives product improvements. Partners with business, UX, architecture, technology, and senior leadership while coaching junior product managers.

Conducts risk monitoring and ongoing assessments of FINRA member firms, including complex and elevated-risk organizations. Analyzes regulatory intelligence, financial data, business models, and industry risks; communicates findings and recommends regulatory responses. Collaborates across departments, supports technology initiatives and special projects, and mentors entry-level staff. The role requires applying securities regulations, assessing risks such as fraud, money laundering, and market risk, and reporting trends to senior management in a hybrid work environment.

Lead development of FINRA’s market surveillance platform, building resilient AWS-based microservices and serverless systems across front-end, back-end, and AI agent components. Design high-quality, performant software, improve engineering processes, mentor colleagues, conduct performance optimization, and promote DevOps, testing, security, and automation best practices. Collaborate cross-functionally to resolve technical challenges and deliver tools for market regulation experts.

Conducts complex securities surveillance reviews to identify potential violations of federal, FINRA, MSRB, and exchange rules. Develops and enhances surveillance analytics and processes, researches regulatory updates, documents findings, supports referrals, communicates with firms and stakeholders, and mentors colleagues. Leads special projects and represents FINRA in internal meetings while promoting investor protection and market integrity.

Leads software development and engineering teams while designing, building, testing, deploying, and scaling enterprise applications on AWS. Defines technical architecture, establishes engineering standards, improves software quality, mentors and supervises engineers, leads code reviews, manages technical risks, and drives process improvement. The role requires expertise in Java, Python, databases, APIs, cloud-native development, DevOps, CI/CD, and modern architecture patterns. It also includes recruiting engineering talent and collaborating with product, architecture, and business stakeholders.

Leads end-to-end advanced analytics projects supporting regulatory operations and cross-market surveillance. Defines quantitative approaches, develops predictive pipelines, drives data and infrastructure availability, and delivers analytics capabilities across teams. Engages stakeholders, gathers use cases, provides research and insights, mentors analysts, and advances enterprise analytics strategy. Requires strong programming, machine learning, data mining, and analytical skills in a hybrid environment with occasional travel.

Conducts securities market surveillance reviews to identify unusual trading activity and potential violations of FINRA, MSRB, federal, and client rules. Researches regulatory guidance, develops and enhances surveillance analytics and processes, prepares investigation reports, documents review results, and makes referrals to enforcement or outside agencies. Provides subject matter expertise, coaches colleagues, participates in surveillance initiatives, and supports routine and special projects.

Conducts complex analyses and reviews of public offering and private placement filings under FINRA and SEC rules. Provides recommendations, regulatory guidance, quality control, training, mentorship, and subject matter expertise to staff. Coordinates with filers, FINRA personnel, attorneys, regulators, and other stakeholders regarding compliance concerns. Supports workflow management, special projects, rule development, and departmental initiatives.

Leads strategic business communications for FINRA business units, developing external communications strategies, messaging, go-to-market plans, executive engagement, events, and reputation-risk responses. Advises senior leaders on high-profile and sensitive initiatives, translates complex financial, regulatory, and research information into compelling audience-focused content, and collaborates across media, web, social, creative, and internal communications teams. Measures communications effectiveness using data and audience insights while mentoring colleagues and supporting enterprise storytelling.

Coordinates arbitration and mediation case administration, including arbitrator appointments, panel composition, hearings, conferences, postponements, case records, correspondence, exhibits, recordings, payments, and expense reports. Provides support to parties and arbitrators, maintains case systems and files, processes documentation, trains staff, and serves as a subject matter expert while working independently in a hybrid environment.

Conducts risk monitoring and ongoing assessments of FINRA member firms, including complex and elevated-risk firms. Analyzes regulatory intelligence, financial and external data, business models, and industry risks; develops recommendations and regulatory responses; collaborates with internal and external stakeholders; leads special projects and technology initiatives; and mentors junior staff. Requires strong knowledge of securities regulations, FINRA risk fundamentals, financial analysis, U.S. GAAP, and relevant industry risks.

Conducts complex reviews and analyses of FINRA member firms’ public communications for compliance with securities advertising regulations. Coordinates evaluations with FINRA departments and other regulators, documents findings, supports disciplinary processes, reviews analytical quality, and provides staff training and coaching. The role also contributes to rule development, policy initiatives, conferences, and on-site examinations.

Leads enterprise WAF strategy, architecture, engineering, and operations, along with PKI, certificate lifecycle management, cryptography, cloud security, secure software development, and responsible AI adoption. Manages technical teams, budgets, vendors, staffing, compliance, disaster recovery, and business continuity activities. Establishes security best practices, evaluates emerging technologies, reports to senior leadership, and ensures reliable protection of applications and APIs across on-premises and cloud environments.

Performs financial disclosure reviews, trading violation investigations, disgorgement calculations, prohibited securities waiver analysis, and compliance consultations. Maintains the Prohibited Company List, identifies system issues, develops policies and training materials, presents Code of Conduct guidance, and supports technology enhancements. Works independently with sensitive information while collaborating across departments and managing multiple priorities.

Monitors trade reporting integrity and real-time data dissemination issues for regulatory compliance. Analyzes trade data and market events, develops KPIs and data collection methods, and delivers executive-level reporting and recommendations. Coordinates internal teams, external firms, and regulators during emergencies and industry initiatives. Provides subject matter expertise on securities market structure, SEC requirements, and FINRA regulations while supporting trading systems during extended hours and mentoring junior colleagues.

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.

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.