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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.

The Associate Analyst reviews filings and regulatory intelligence, assisting in data analysis and low-complexity investigations. Responsibilities include identifying risks and formulating procedure manuals.

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

The role involves leading the examination program, developing strategies, coordinating with risk monitoring, managing directors, and representing FINRA in various interactions while ensuring compliance and staff development.

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.