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As an Enforcement Associate in the Honors Program, you will assist senior attorneys in investigations and legal actions against individuals and firms in the financial industry. Responsibilities include conducting legal research, reviewing case files, drafting legal documents, presenting findings, and supporting litigation teams. This entry-level role focuses on developing lawyering skills and knowledge of the financial sector.

The Principal Intelligence Specialist within FINRA's FIU leads the analysis and distribution of strategic intelligence to identify risks and inform stakeholders. Responsibilities include data analysis, project leadership, stakeholder consultation, member firm education, and staff training related to compliance events. This role requires advanced investigative and communication skills and offers insights to enhance risk controls.

The Principal for EFS Strategic Initiatives leads a portfolio of departmental projects, coordinating with cross-functional teams to ensure timely completion and quality deliverables. They facilitate project prioritization, manage high complexity projects, and provide guidance to stakeholders while tracking project progress and addressing risks.

The Senior Analyst in Corporate Financing Public Offerings analyzes public offering transactions, ensures compliance with FINRA and SEC rules, and communicates underwriting arrangements. The role involves drafting letters, conducting investigations, and preparing reports. The analyst supports enforcement investigations and assists with examinations of corporate financing activities, handling inquiries from various stakeholders.

The Associate Principal Analyst conducts surveillance reviews to identify unusual market activities indicating violations of federal securities regulations. This role involves analyzing trading activity, researching regulations, developing analytics, preparing reports, and coaching colleagues while also participating in various surveillance initiatives.

Lead Systems Administrator/Engineer responsible for designing, engineering, and automating tasks to ensure technology systems meet quality standards. Serve as an expert in Microsoft M365, Exchange Online, and other core platforms. Lead implementation of enhancements and collaborate with teams to ensure system availability. Proactively recommend and implement changes to improve metrics and service capabilities. Mentor junior staff and participate in process improvement initiatives.

The Senior Microsoft System Engineer is responsible for engineering, implementing, testing, and documenting various systems and components. They will lead internal process improvements, mentor junior team members, ensure adherence to security guidelines, and manage vendor relationships while focusing on the reliability and performance of systems.