FINRA

FINRA

Atlanta, GA
Total Offices: 18
5,123 Total Employees
Year Founded: 2007

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Jobs at FINRA

Search the 17 jobs at FINRA

Recently posted jobs

Financial Services
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.
5 Days Ago
Rockville, MD
Financial Services
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.
Financial Services
Experienced Principal Analyst in Member Supervision Operations, Procedures, and Standards (MS OPS) responsible for developing and maintaining operations, procedures, standards, and reporting. Evaluate program for improvements, resolve operational issues, and lead regulatory initiatives. Partner with key stakeholders to enhance processes and controls. Communicate updates, train staff, and produce reports. Provide support in developing operational metrics and lead special projects. Coach junior colleagues and demonstrate inspirational leadership.
Financial Services
The Principal Integration Specialist will lead critical strategic initiatives, collaborate with stakeholders, and develop strategic vision and roadmaps for successful delivery. Responsibilities include facilitating problem-solving, leading workshops, creating strategic materials, and supporting target operating models.
Financial Services
Senior Analyst role in Surveillance and Market Intelligence conducting surveillance reviews to identify market violations and working on special projects under senior staff direction. Responsible for analyzing trading activity, drafting summaries, and presenting investigative findings. Requires a Bachelor's degree and 3 years of experience in the securities/financial services industry. Must have knowledge of surveillance development lifecycle, FINRA rules, and the ability to identify securities rule violations. Hybrid work environment with potential travel required. Salary range: $68,500 - $146,900 per year.
14 Days Ago
Rockville, MD
Financial Services
The Helpline Analyst will provide technical support to Consolidated Audit Trail Industry Members, resolving issues and providing excellent customer service in regulatory responsibilities. Key responsibilities include call intake, issue resolution, customer support, documentation, and training. Minimum qualifications include a Bachelor's degree in Finance, Economics, or Business with 2 years of related experience. Experience in the financial industry, knowledge of regulatory reporting, and excellent communication skills are required.
14 Days Ago
Rockville, MD
Financial Services
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.
Financial Services
The Technology Manager: Cyber Risk & Secure Configuration oversees and supervises a Technology operational team, focusing on system security, risk management, service levels, and team leadership. This role involves evaluating cyber risks, developing security guidelines, managing resources, and ensuring technology best practices. The manager also collaborates with vendors, supports disaster recovery planning, and maintains compliance with security controls and industry standards.
Financial Services
Senior Analyst position responsible for conducting routine surveillance reviews to identify unusual market activity for evidence of violations of securities regulations. Assists with analyzing trading activity, drafting summaries, developing surveillance tools, and presenting findings to management. Requires a Bachelor's degree and a minimum of three years of experience in the securities/financial services industry.
Financial Services
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members. Collaborates with internal departments, mentors junior staff, and serves in leadership roles for special projects and technology initiatives. Requires advanced knowledge of FINRA's risk fundamentals, securities rules, and firm business models. Must have strong analytical, communication, and problem-solving skills.
22 Days Ago
Rockville, MD
Financial Services
Lead Network Automation Engineer responsible for developing and maintaining network management systems, troubleshooting complex network issues, collaborating with teams, and mentoring junior staff. Strong programming and scripting skills required, with expertise in Python, PHP, Perl, SQL, and Unix/Linux administration. Experience with AWS, Azure, SNMP, Docker, DNS, and network protocols essential.
22 Days Ago
Rockville, MD
Financial Services
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.
Financial Services
The Principal Analyst in the Metrics and Reporting team is responsible for providing strategic advice on reporting and technological issues, managing complex problems, collaborating with internal teams, and maintaining systems and reference data. The role requires experience in business processes, business requirements analysis, and securities market structure issues. Strong communication skills are essential for this senior-level position.
23 Days Ago
New York, NY
Financial Services
The Accommodations Manager is responsible for planning, developing, implementing, and managing a variety of disability accommodation requests in alignment with the Americans with Disabilities Act (ADA).
Financial Services
Conduct robust investigations into employee complaints and allegations of misconduct. Provide guidance and resolution on a broad range of employee relations matters. Collaborate with key stakeholders to assess and mitigate legal, regulatory, and reputational risk.
Financial Services
Conduct routine surveillance reviews of moderate to high complexity to identify unusual market activity for evidence of violations of applicable federal securities, FINRA and/or RSA client rules and regulations. Analyze trading activity, research and provide updates, develop new analytics, and prepare detailed reports. Demonstrate subject matter expertise, coach colleagues, and work on special projects.
Financial Services
The Associate Principal Analyst in the Surveillance and Market Intelligence section of Market Regulation conducts routine surveillance reviews to identify unusual market activity and potential violations of securities regulations. Responsibilities include analyzing trading activity, researching regulations, preparing reports, and participating in special projects. The position requires a Bachelor's degree and a minimum of four years of experience in the securities/financial services industry.