Jobs at FINRA

Coordinates all phases of mediation cases, including party solicitation, mediator selection, scheduling, documentation, correspondence, financial review, case tracking, and disposition. Provides customer service, resolves complex inquiries, supports special projects, and trains or guides staff and mediators. Maintains accurate case records and collaborates with internal and external stakeholders in hybrid work environments.

Provides high-level administrative support to an HR LTOD executive and team: manages complex calendars and meetings, drafts correspondence, prepares executive presentations and reports, arranges travel and expense reports, runs and maintains reports and performs mid-level data analysis, supports leadership meetings and on-site programs, improves administrative processes, and handles confidential information in a hybrid role with occasional travel.

As a Cyber Awareness and Training Lead, you will design cybersecurity tabletop exercises, provide incident management guidance, drive examinations, educate members, and consult on high-stakes issues to enhance industry cyber resilience.

Lead testing and risk optimization for Surveillance, directing strategy, operations, and enhancements. Manage team operations, coordinate surveillance governance, testing, and ROI analyses, collaborate with internal/external stakeholders, represent FINRA externally, and drive innovation and measurable regulatory program outcomes.

Conducts moderate-to-high complexity market surveillance to identify potential securities rule violations, develops and tests analytics and surveillance tools, documents reviews and referrals, prepares detailed reports, coaches colleagues, and supports special projects to advance regulatory surveillance goals and industry compliance.

Lead P&L, product strategy, and market-structure policy for FINRA's OTC Equity products. Drive product development and launches, oversee real-time market oversight (halts, trade breaks), engage external stakeholders and regulators, and coordinate cross-functional teams to reduce fraud, protect investors, and ensure market stability.

The Associate Principal Analyst reviews advertising communications for compliance with regulations, mentors staff, and conducts complex reviews of materials while responding to inquiries.

Lead and perform complex reviews of FINRA firms' public communications, coordinate joint evaluations with regulators, document findings, support examinations and disciplinary processes, mentor staff, and assist management with quality control, training, and policy input.

The Associate Principal Analyst reviews advertising materials for compliance with regulatory standards, mentors junior staff, and ensures quality and timely responses to inquiries.