Teams at FINRA

Designs, maintains, and delivers training for Dispute Resolution Services staff across regional offices and job levels. Develops onboarding, procedural, policy, refresher, and just-in-time training in partnership with Quality Control, senior management, and People Solutions. Identifies skill gaps and operational risks, supports real-time assignments, and translates complex regulatory and dispute-resolution material into accessible instruction. Requires strong analytical, research, communication, relationship-building, and independent problem-solving skills.

Conducts complex regulatory analyses of FINRA firms’ public communications, coordinates examinations with internal departments and regulators, documents findings, and supports disciplinary actions. Reviews analytical sign-offs for accuracy and rule application, trains and coaches staff, monitors workflow, contributes to policy and rule development, represents the department at conferences, and handles special projects. Requires expertise in securities, broker-dealer services, advertising regulations, and FINRA, SEC, MSRB, and SIPC rules.

Guide technology product features through scoping, requirements gathering, development, testing, and production rollout. Represent business users, conduct interviews and research, document enhancements, analyze processes and data using SQL, coordinate across departments, support user acceptance testing and demonstrations, and collaborate with developers and senior business analysts using Agile practices.