Conduct surveillance reviews to identify unusual market activity and potential violations, analyze trading activity, and develop surveillance tools.

Conduct complex analyses of FINRA firms’ communications, assists in quality control, training, evaluation of communications, and documentation.

The Specialist analyzes and processes intelligence related to cybersecurity risks, develops strategies, and collaborates with stakeholders to mitigate risks to investor protection.

The Senior Principal Analyst conducts Quality Assurance reviews, enhances QA metrics, collaborates with team managers, and provides subject matter expertise to ensure effective surveillance practices.

The Principal Analyst conducts quality assurance reviews of market surveillance activities, assesses findings, and contributes to reporting, ensuring regulatory compliance and efficiency in the SMI team.

The Senior Director leads FINRA’s Cyber and Analytics Unit, overseeing teams focused on cyber-enabled fraud investigations and analytics. The role includes strategic planning, staff development, and collaboration with regulatory bodies.

The Principal Analyst will lead regulatory initiatives, enhance processes, maintain operational standards, and oversee complex operational issues within Member Supervision Operations.

The Lead Product Manager leads technology initiatives to enhance legal operations, manage products, and collaborate with stakeholders for effective implementation.

The Associate Director oversees case management teams, ensures legal support quality, leads training, and manages strategic planning for appellate processes at FINRA.

The Case Coordinator supports arbitration cases by scheduling, documenting hearings, generating memos, and maintaining files. They communicate with arbitrators and parties while ensuring processes are followed diligently.

The Associate General Counsel advises senior management on complex regulatory initiatives, oversees rule-making functions, and ensures compliance with securities regulations. Responsibilities include legal analysis, stakeholder communication, and training junior staff.

The Associate Director, OCLO Operations leads cross-functional initiatives, enhances operational efficiency, manages budgets, and supports strategic planning efforts within OCLO.

The Credit Regulation Data Analyst oversees margin rules compliance, provides data analytical support in financial oversight, manages data projects, and enhances reporting for member firms' credit exposures, collaborating with various stakeholders to improve regulatory processes.

The Principal Counsel & Associate Director oversees privacy programs, advises on legal matters, negotiates vendor contracts, and ensures compliance with privacy policies at FINRA.

Conduct risk monitoring activities, support risk assessments, mentor junior staff, and collaborate with departments to communicate regulatory intelligence.

The Lead Data Steward coordinates activities, promotes data governance, manages data quality, collaborates with various teams, and ensures effective data management practices.

Conduct risk monitoring activities and ongoing risk assessments of FINRA members, mentor junior staff, and interact with internal and external parties.

The Senior Principal oversees compliance with federal CJI policies, manages risk strategies, and collaborates with stakeholders to implement operational solutions for FINRA's Fingerprint Program.

Manage and support a portfolio of strategic initiatives, ensuring project deliverables meet departmental goals, while collaborating with functional leaders and tracking project progress.

The Analyst supports operational and technical tasks, resolves complex issues, creates reports, and ensures project requirements are met. They mentor teams and handle data access.