The Associate Principal Analyst for Risk Monitoring at FINRA conducts risk assessments and monitoring activities, collaborates with departments for regulatory intelligence, mentors junior staff, and leads special projects. The role requires advanced knowledge of regulatory and financial concepts, strong analytical skills, and a team-oriented approach to manage risks effectively.

The Analyst conducts disclosure reviews for compliance with filing requirements and assesses statutory disqualifications. Responsibilities include researching regulatory records, drafting summaries, and responding to inquiries. This role emphasizes developing analytical skills and fulfilling case assignments under supervision.

The Lead Data Steward is responsible for overseeing data stewardship activities, advocating for data access and governance, and promoting data literacy throughout the organization. This role requires collaboration with various departments to ensure data quality, compliance with regulations, and proper documentation. Key responsibilities include managing data-related projects, influencing data strategy, facilitating workshops, and training staff on market data.

This senior-level analyst position involves conducting risk monitoring activities, managing ongoing risk assessments of FINRA members, collaborating on regulatory intelligence, mentoring junior staff, and leading special projects or technology initiatives related to risk management.

The Senior Principal, Criminal Justice Information Program is responsible for ensuring compliance with federal policies regarding criminal justice information. This role involves interpreting and operationalizing legal requirements, developing risk mitigation strategies, and collaborating with stakeholders across FINRA to safeguard criminal justice information and ensure compliance with evolving regulations.

The Principal, EFS Strategic Initiatives oversees a portfolio of projects within the EFS department, ensuring timely progress, quality deliverables, and acting as the primary contact for functional leaders. This role requires managing cross-functional teams, facilitating project prioritization, and developing change management plans, alongside reporting project progress to senior leadership.

The Associate Principal Business Analyst provides operational and technical support through data analysis and reporting, collaborates with technology teams, and ensures project requirements are met. Responsibilities include creating reports, monitoring issues, and providing support to the call center. The role also involves mentoring team members and participating in TCE initiatives.

The Analyst in FCAT Business Operations will engage with various stakeholders to support the implementation and ongoing management of the Consolidated Audit Trail reporting. Responsibilities include providing customer service, assisting in developing guidance materials, maintaining the CAT NMS Plan website, and executing special projects as assigned.

The Staff Desktop Support Specialist provides technical support for desktop computers and related technology, focusing on assisting executive users in high-pressure environments. Key responsibilities include troubleshooting operating systems, managing software installations, and analyzing operational data to deliver insights and recommendations to leadership.

The Alternative Net Capital Principal Risk Specialist evaluates member firms’ risk management systems to ensure compliance with regulatory requirements. Responsibilities include conducting reviews, testing internal control processes, and analyzing risk exposures in market, credit, and liquidity. The role involves collaboration with various departments to assess compliance and document findings for management review.

The Senior Analyst will analyze business processes and facilitate communication between stakeholders to optimize technology solutions for the business. Responsibilities include documenting business functions, supporting change management, mentoring junior analysts, and utilizing SQL to analyze data. The role handles complex projects with minimal supervision.

The Associate Director of People Insights and Analytics will oversee People Analytics, providing consultations, developing reports and dashboards, and promoting data-driven decision-making. The role includes collaborating with business leaders, analyzing KPIs, and managing team resources to improve business outcomes.

The Vice President of Surveillance Operations leads and directs the market surveillance activities to ensure compliance and operational excellence. Responsibilities include developing surveillance standards, overseeing quality reviews, advising on regulatory changes, and collaborating with various teams. This role requires strong leadership, strategic planning, and relationship management skills within the financial regulatory landscape.

The Associate Principal Risk Monitoring Analyst is responsible for conducting risk monitoring activities, collaborating with internal departments for regulatory intelligence, mentoring entry-level staff, and leading special projects. This role involves analyzing risk for member firms and making recommendations based on data assessments.

The HR Senior Specialist in HR Technology manages HRIS functions, overseeing data integrity and processing personnel actions while providing technical support for Workday. Responsibilities include collaboration with technology teams, user support, process analysis, and project assistance, ensuring optimal system functionality and identifying improvements for operational efficiencies.

The Director of Technology oversees a technology program or practice, managing teams across various disciplines. Responsibilities include ensuring compliance with standards, analyzing technology solutions, leading budget activities, and collaborating with partners. The role also includes evaluating technologies, maintaining relationships, and supporting disaster recovery efforts.

As a Case Specialist in Dispute Resolution, you will analyze, review, and process legal pleadings within FINRA's arbitration framework. Your responsibilities include managing case intake, monitoring compliance, preparing documentation for arbitrators, and ensuring accurate fee assessments. You'll work independently, prioritize tasks, and provide excellent support to customers regarding arbitration policies.

The Senior Principal Cybersecurity Analyst leads initiatives to develop and manage cybersecurity controls and processes. Responsibilities include communicating cybersecurity risks, implementing security measures, managing incident responses, and ensuring compliance with regulations and security policies.

The Senior Data Quality Analyst at FINRA is responsible for developing and implementing an enterprise data quality program, collaborating with cross-department teams, performing data quality analyses, and creating data quality standards and metrics for stakeholders. Key tasks include monitoring data quality, managing quality issues, and improving automated processes.

The Lead Enterprise Data Steward oversees data management and governance processes, ensuring effective communication among data stewards and advocating for data literacy. They collaborate with various departments to develop data strategies, promote data awareness, and enhance data quality while supporting the organization’s regulatory functions through comprehensive data stewardship initiatives.