Jobs at FINRA

Support workforce reporting and analytics in Workday by developing recurring and ad hoc reports, ensuring data quality, troubleshooting discrepancies, maintaining reporting documentation and dashboards, and partnering with HR and business stakeholders to translate needs into standardized, automated reporting and insight-driven analytics.

Lead and transform HR operations including Shared Services, HR PMO, vendor management, business continuity, and governance. Partner with senior leaders to design programs, leverage data and systems to improve service delivery, drive continuous improvement, manage budgets, and develop HR teams.

Lead and execute risk monitoring for complex member firms, identify emerging risks, coordinate cross-functional analysis, mentor junior staff, lead projects and technology initiatives, and deliver regulatory recommendations to protect investors and market integrity in a hybrid work environment.

Lead P&L, product strategy, and market-structure policy for FINRA's OTC Equity products. Drive product development and launches, oversee real-time market oversight (halts, trade breaks), engage external stakeholders and regulators, and coordinate cross-functional teams to reduce fraud, protect investors, and ensure market stability.

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.

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.

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.

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.

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.

Analyze trading activity to detect potential securities law and SRO rule violations, research regulatory developments, contribute to surveillance analytics and detection methods, prepare detailed reports and referrals, coach colleagues, and support cross-team projects and special initiatives.

The Associate Principal Analyst reviews advertising materials for compliance with regulatory standards, mentors junior staff, and ensures quality and timely responses to inquiries.

Monitor intra-day trading and alerts across FINRA trade reporting facilities, resolve real-time issues, respond to member and SRO inquiries, maintain supporting databases and records, prepare clear summaries for leadership, assist junior analysts, and contribute to analytics tool and operational methodology development to support market integrity and investor protection.

Lead FINRA's capital markets rulemaking and regulatory policy work: advise the Board and senior management on complex securities initiatives, draft and file rules, coordinate economic impact assessments, represent FINRA to regulators and industry, prepare board materials, supervise OGC staff, and communicate proposals publicly. Requires subject-matter expertise in trading practices, market structure, trade reporting systems, and relevant SEC rules.

Support and administer Total Rewards (compensation and benefits) programs and systems, including leave administration, benefits enrollment, compensation cycles, vendor coordination, UAT and training, data consolidation and benchmarking, communications, event and project support, and continuous improvement to ensure compliance and high-quality service delivery.

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 Workday Finance configuration, reporting, integrations, and tenant management. Translate finance requirements into Workday designs, support releases and close processes, troubleshoot production issues, drive data governance, mentor junior analysts, and support implementations and continuous improvement across all Workday Finance modules.

Lead planning and execution of corporate committee, member, virtual/hybrid, and in-person meetings. Manage registrations in Cvent, vendor contracts, AV/webcasting, budgets, catering, travel approvals, and on-site production for overlapping events.

As a Cyber Awareness and Training Lead, you will design cybersecurity tabletop exercises, provide incident management guidance, drive examinations, educate members, and consult on high-stakes issues to enhance industry cyber resilience.

Provides high-level administrative support to an HR LTOD executive and team: manages complex calendars and meetings, drafts correspondence, prepares executive presentations and reports, arranges travel and expense reports, runs and maintains reports and performs mid-level data analysis, supports leadership meetings and on-site programs, improves administrative processes, and handles confidential information in a hybrid role with occasional travel.