The Senior Principal Analyst leads operational processes, enhances procedures, collaborates on regulatory initiatives, and improves efficiency within Member Supervision Operations.

The Privacy Analyst will support the implementation and monitoring of FINRA’s data privacy program, conduct compliance activities, and manage communications regarding data security across departments.

The Senior Developer will design, develop, test, and document software components, mentor junior staff, and lead process improvement initiatives.

The Corporate Actions Analyst supports daily operations of Corporate Actions, analyzing submissions, managing cases, and maintaining databases under supervision.

The Lead Data Steward, CRED coordinates data stewardship efforts, promoting data governance and education while ensuring data quality and compliance throughout the organization. Responsibilities include collaboration with various departments, policy interpretation, and strategic data management.

The Case Coordinator supports mediation processes by managing scheduling, documentation, and communication between parties, and assisting in administration tasks.

The Principal Analyst conducts complex surveillance reviews, identifies regulatory violations, mentors staff, and enhances surveillance processes within the securities industry.

The Associate, Public Relations role involves tracking media coverage, preparing briefing materials, and supporting communications for FINRA's initiatives.

The Senior HR Program Manager, Compensation oversees Compensation operations, guiding junior staff, developing strategic plans, and enhancing relationships across the organization.

The Senior Developer will design, develop, test, and document software components while mentoring junior staff and managing code quality.

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

Conducts risk monitoring activities for FINRA's highest risk firms, collaborates with departments to analyze risks, and mentors junior staff.

Manage talent management processes, develop programs for high-potential employees, and collaborate with stakeholders on talent initiatives.

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

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 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 Senior Program Administrator supports OGC Regulation by managing administrative processes, coordinating programs, and improving operational efficiency. Responsibilities include budget management, report preparation, and maintaining policies.