Jobs: FINRA

FINRA is dedicated to protecting investors and ensuring the integrity of America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations. We have an exciting opportunity for a Associate Principal Examiner: To conduct risk-based...

To conduct risk-based examinations of FINRA member firms and registered representatives.Essential Job Functions:Leads examinations of low, medium-low, and medium-high risk and complexity with moderate supervisionConducts and memorializes discovery and risk reviews of low to medium-high risk and complexityServes as mentor to junior staffInterviews firm...

To conduct risk-based examinations of FINRA member firms and registered representatives.Leads examinations of low, medium-low, and medium-high risk and complexity with moderate supervisionConducts and memorializes discovery and risk reviews of low to medium-high risk and complexityServes as mentor to junior staffInterviews firm personnel independentlyGathers...

The Senior Litigation Counsel works under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC).Essential Job Functions:Represent FINRA in a first or second chair capacity in complex disciplinary...

To conduct risk-based examinations of FINRA member firms and registered representativesEssential Job Functions:Execute and advise on Market Access Rule (SEC Rule 15c3-5) reviews on examinations of medium to high risk and/or complex trading firms with moderate supervision.Evaluate firms’ pre-trade financial, erroneous and regulatory risk management controls...

The Senior Principal Investigator on the Crypto Asset Investigations (CAI) team, utilizing their significant crypto and/or fintech investigative and risk management experience, independently conducts advanced high complexity crypto-related review and special investigations involving FINRA member firms and/or affiliates. This team of Crypto Asset...

Provides strategic leadership and guidance and establishes procedures and standards across the program as well as advising and collaborating with various groups conducting reviews of the program including the SEC, Internal Audit and Quality Assurance for the program. This includes developing controls and metrics to monitor program execution and...

Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties.Conducts risk...

The Office of Corporate Communications is responsible for planning and implementing proactive communications on major initiatives; working to promote positive, accurate and fair media coverage of FINRA; and promoting an engaged and well-informed workforce, among other activities. The Project Manager supports the leaders and members of the Communications team...

Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.Essential Job Functions:This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and...

The Principal Integration Specialist will be a core contributor to program and project delivery, supporting the team in defining direction for and ensuring exceptional execution of critical strategic initiatives. This role will leverage best practices from across project management, implementation and change management, user design, business strategy, and...

This position is an experienced individual contributor in Member Supervision Operations, Procedures and Standards (MS OPS), who works independently with minimal supervision to identify, assess, develop, implement, and maintain operations, procedures, standards, and reporting. This role will lead regulatory initiatives by partnering with key stakeholders,...

This position is an experienced individual contributor in Member Supervision Operations, Procedures and Standards (MS OPS), who works independently with minimal supervision to identify, assess, develop, and maintain the MS regulatory risk and controls program and framework. This role will lead and analyze the program for areas of risk and control...

The Director, Regulatory Compliance is responsible for managing key regulatory and compliance functions for Market Regulation and Transparency Services (MRTS). These functions include managing responses to SEC inspections and oversights, managing responses to government access requests, ensuring timely completion of audit commitments, and managing the...

The High Risk Representative Team (HRR) is a specialized unit within FINRA's National Cause and Financial Crimes Program (NCFC). The Principal Analyst in the High Risk RR Unit independently conducts risk monitoring activities and ongoing risk assessments of FINRA High Risk Registered Representatives. The Principal Analyst demonstrates a highly proficient...

The Product Management Business Analyst Senior Specialist works on the development and distribution of technical specifications and related coding guidance for participants. The position is responsible for ensuring that participants comprehend and adhere to the FINRA rules that govern the various Transparency Services interfaces for quoting and trade...

Through its administration of the Code of Conduct, the Ethics Office (“Office”) furthers FINRA’s independence and the integrity of its regulatory efforts. This position is responsible for all ethics publications and courses, ensuring that those effectively convey the principles and requirements of the Code of Conduct to all constituents performing work...

FINRA is dedicated to protecting investors and ensuring the integrity of America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations. We have an exciting opportunity for a Associate Director, MRTS-Trade Reporting: The Associate...

The Senior Principal Integration Specialist is a core contributor to program and project delivery, supporting the team in defining direction for and ensuring exceptional execution of critical strategic initiatives. This role will leverage best practices from across project management, implementation and change management, user design, business strategy, and...

This Principal Analyst role on the Testing and Risk Optimization team in Surveillance Optimization and Innovation is responsible for executing and addressing the development and optimization of surveillance patterns to ensure a center of surveillance excellence. This role also works under the guidance of management to innovate and communicate with peers...