Top Tech Jobs & Startup Jobs

Coordinates arbitration case administration, including appointing arbitrators, scheduling hearings, processing postponements and fees, maintaining case files, managing exhibits and recordings, and responding to parties and arbitrators. Processes correspondence, oaths, expense reports, checks, and travel approvals while documenting case activity. Provides cross-functional coverage, trains staff, and performs reception, senior coordination, and case specialist duties as needed.

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.

Maintains source code branches, build environments, development and test baselines, and software/hardware configurations. Creates and validates builds, supports configuration management processes, troubleshoots issues, reports metrics, and recommends process and technology improvements. Provides SCM and build support, trains and mentors staff, manages vendors and budgets, and ensures compliance with security controls and FINRA standards. The role is hybrid, includes occasional travel, extended hours, and rotational on-call duties.

Entry-level FINRA Enforcement Honors Associates support investigations and potential disciplinary actions involving financial-industry individuals and firms. Responsibilities include legal and sanctions research, evidence review and analysis, interviews, factual presentations, drafting legal documents, investigative strategy, and litigation preparation. The role requires a recent J.D. or L.L.M. graduate, strong research and communication skills, and eventual bar admission for continuation beyond the first year.

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.

Leads strategic research and quantitative surveillance initiatives involving market manipulation, regulatory investigations, large distributed datasets, statistical analysis, and machine learning. Designs scalable analytical solutions, presents findings to senior personnel, supports regulatory impact assessments, recommends strategic data procurement, and contributes to surveillance program evolution and special projects.

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.

Conducts quality control reviews, statistical sampling, data analysis, and compliance checks across FINRA Information Operations systems and records. Identifies errors, trends, root causes, unauthorized access risks, and process gaps; maintains QC metrics and reports findings to leaders. Supports process improvement, risk mitigation, training, documentation updates, and expansion of quality coverage while collaborating across teams.

Provides operational support and optimization for Workday HRIS, including configuration, production issue resolution, data maintenance, reporting, integrations, UAT, data quality audits, documentation, training, and change management. Partners with HR, product, and engineering teams to translate business needs into requirements, implement enhancements, manage system releases, resolve data issues, and support Workday modules including Core HCM, Compensation, Benefits, Recruiting, Talent, and Performance.

Directs FINRA’s Risk Monitoring Program for a business segment, supervising analysts and overseeing risk assessments, regulatory responses, examination strategies, corrective actions, and monitoring of member firms. Leads issue identification, stakeholder coordination, staff development, hiring, special projects, and technology initiatives. Represents senior leadership with firms and regulatory agencies, ensures compliance with securities regulations, and provides strategic guidance on emerging industry risks.