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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.

Lead enterprise test automation strategy across FINRA application teams, including Workday HCM and Finance systems. Build and maintain automation frameworks and test cases, mentor engineers, define functional, integration, regression, and performance testing practices, establish quality metrics, and promote shift-left testing. Collaborate with multiple teams and executive stakeholders while reviewing automation code and evaluating testing tools. The role requires strong Java development, QA leadership, cloud, DevOps, performance optimization, and software security experience.

Provides specialized technical and functional support to CAT industry members and regulatory users. The analyst handles inquiries, researches and resolves moderately complex issues, documents requests in a CRM, assists with validation and linkage error corrections, tracks trends, delivers training, and escalates complex matters. The role requires developing knowledge of SEC Rule 613, CAT NMS Plan requirements, securities markets, and member-firm operations while mentoring junior analysts and collaborating with internal and external stakeholders.

Leads strategic initiatives and project delivery for FINRA’s Consolidated Audit Trail. Manages requirements gathering, business requirements, UAT design and execution, regulatory inquiries, quantitative research, technical documentation, and stakeholder communications. Serves as a CAT subject matter expert, translates business and technology needs into deliverables, resolves complex reporting and data issues, mentors analysts, and provides recommendations to senior management.

Leads the vision, strategy, roadmap, and feature definition for FINRA’s Graph Solutions Platform and its integration with generative AI. Translates regulatory challenges into graph-enabled investigative analytics, manages prioritization and product launches, coordinates cross-functional development, monitors product performance, and drives continuous improvement. Partners with regulatory operations, technology, UX, architecture, and senior leadership while coaching junior product managers.

Serves as FINRA’s liaison on state legislative and regulatory matters. Monitors initiatives affecting securities regulation, prepares comment letters and testimony, advises executives, manages stakeholder and regulator relationships, oversees lobbying consultants, and negotiates complex inter-organizational issues. Represents FINRA at conferences and events while providing timely regulatory guidance across the organization. The role requires independent judgment, strong securities regulation knowledge, excellent communication, and collaboration in a hybrid environment.

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.

Leads vision, strategy, roadmaps, backlogs, requirements, prioritization, development, launches, and ongoing performance for multiple market surveillance products. Uses user research, data analytics, and stakeholder insight to guide product decisions, coordinate cross-functional teams, resolve escalated issues, and improve product outcomes. Coaches junior product managers and supports continuous improvement across the product development process.

Leads enterprise identity and access management initiatives, designing SailPoint IdentityIQ solutions, custom Java development, connectors, workflows, and role models. Builds AWS and Azure access automation with Python and PowerShell, administers AWS IAM and Active Directory integrations, and resolves complex identity issues. Partners with security and compliance teams on governance, audit documentation, secure coding, and access controls. Mentors engineers, leads cross-functional Agile projects, and communicates IAM architecture to technical and nontechnical stakeholders.

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.