The Senior Program Manager, Compensation oversees operations for Compensation, develops strategic plans, engages leadership, and ensures compliance with policies.

The Senior Principal Analyst manages CAT initiatives, coordinates delivery plans, develops financial analyses, and ensures effective CAT system delivery and operational support.

The Executive Assistant supports the COO by managing calendars, organizing meetings, making travel arrangements, and handling confidential materials. They perform administrative tasks and ensure timely preparation of documents and correspondence.

The Assistant Special Counsel provides legal support to Hearing Officers, conducts legal research, and manages the adjudication of disciplinary proceedings in connection with various regulatory bodies. Responsibilities include advising on legal issues, drafting decisions, and maintaining legal databases.

The Associate General Counsel, Capital Markets, advises on complex regulatory initiatives, manages rule changes, and provides legal expertise in securities laws. This role involves coordinating policies, preparing legal documents, and engaging with industry regulators.

The Associate Principal Privacy Analyst supports the FINRA Enterprise Data Privacy Office by developing, implementing, and maintaining privacy policies and procedures while assessing risks and enhancing controls. The role also involves cross-functional collaboration, audits, and project management support.

The Associate Director leads regulatory reviews in Market Regulation, manages a team, implements policies, and communicates with stakeholders to ensure compliance with regulations.