Jobs at FINRA

Entry-level FINRA Enforcement Honors Associates support investigations and potential disciplinary actions involving financial-industry individuals and firms. Responsibilities include legal and sanctions research, evidence review and analysis, interviews, factual presentations, drafting legal documents, investigative strategy, and litigation preparation. The role requires a recent J.D. or L.L.M. graduate, strong research and communication skills, and eventual bar admission for continuation beyond the first year.

Leads strategic research and quantitative surveillance initiatives involving market manipulation, regulatory investigations, large distributed datasets, statistical analysis, and machine learning. Designs scalable analytical solutions, presents findings to senior personnel, supports regulatory impact assessments, recommends strategic data procurement, and contributes to surveillance program evolution and special projects.

Performs financial disclosure reviews, trading violation investigations, disgorgement calculations, prohibited securities waiver analysis, and compliance consultations. Maintains the Prohibited Company List, identifies system issues, develops policies and training materials, presents Code of Conduct guidance, and supports technology enhancements. Works independently with sensitive information while collaborating across departments and managing multiple priorities.

Directs FINRA’s Risk Monitoring Program for a business segment, supervising analysts and overseeing risk assessments, regulatory responses, examination strategies, corrective actions, and monitoring of member firms. Leads issue identification, stakeholder coordination, staff development, hiring, special projects, and technology initiatives. Represents senior leadership with firms and regulatory agencies, ensures compliance with securities regulations, and provides strategic guidance on emerging industry risks.

Monitors trade reporting integrity and real-time data dissemination issues for regulatory compliance. Analyzes trade data and market events, develops KPIs and data collection methods, and delivers executive-level reporting and recommendations. Coordinates internal teams, external firms, and regulators during emergencies and industry initiatives. Provides subject matter expertise on securities market structure, SEC requirements, and FINRA regulations while supporting trading systems during extended hours and mentoring junior colleagues.

Leads Transparency Services business operations for FINRA, overseeing overnight responses to market halts, trade breaks, and extraordinary OTC trading conditions. Advises senior leaders on regulatory risks, directs investigative and surveillance workflows, manages participant data governance, and develops risk mitigation strategies. Influences internal teams, financial institutions, and regulators while managing managers and senior contributors through coaching and performance development. Supports audits, inspections, compliance activities, and external regulatory engagements in a 24-hour operating environment.

Monitors FINRA trade reporting facilities, reviews alerts, responds to member firm and vendor inquiries, identifies potential securities rule violations, documents activities, and prepares leadership reports. The role supports market integrity through regulatory analysis, database maintenance, process improvement, analytics tool testing, and policy development. It requires independent judgment, collaboration with senior staff, and scheduled coverage of trading systems during defined operating hours.

Monitors FINRA trade reporting facilities during extended hours, investigates alerts and inquiries, identifies potential securities rule violations, documents reviews, and communicates findings to leadership. The role supports member firms, vendors, exchanges, and regulatory organizations; maintains operational databases; contributes to policies, procedures, analytics tools, and process improvements; and applies FINRA and securities regulations to promote market integrity and investor protection.

Leads FINRA’s strategic intelligence function, overseeing teams that identify, analyze, and predict threats, emerging risks, and regulatory trends affecting financial markets. Develops intelligence frameworks, collection strategies, assessments, briefings, and executive communications. Advises senior leadership, collaborates with regulators and law enforcement, manages organizational resources, and builds high-performing intelligence teams. Requires extensive intelligence expertise, financial regulatory knowledge, strategic leadership, and the ability to translate technical analysis into actionable insights.

Leads FINRA’s trading and product risk intelligence function, overseeing experts who identify, analyze, and predict regulatory trends, market risks, threats, and critical events. Develops intelligence products and strategic assessments for senior leaders and regulatory stakeholders, establishes collection and dissemination frameworks, and builds relationships with regulators, law enforcement, exchanges, and industry participants. Manages team strategy, staffing, budgets, talent development, and cross-functional initiatives supporting investor protection and market integrity.

Designs, maintains, and delivers training for Dispute Resolution Services staff across regional offices and job levels. Develops onboarding, procedural, policy, refresher, and just-in-time training in partnership with Quality Control, senior management, and People Solutions. Identifies skill gaps and operational risks, supports real-time assignments, and translates complex regulatory and dispute-resolution material into accessible instruction. Requires strong analytical, research, communication, relationship-building, and independent problem-solving skills.

Conducts complex regulatory analyses of FINRA firms’ public communications, coordinates examinations with internal departments and regulators, documents findings, and supports disciplinary actions. Reviews analytical sign-offs for accuracy and rule application, trains and coaches staff, monitors workflow, contributes to policy and rule development, represents the department at conferences, and handles special projects. Requires expertise in securities, broker-dealer services, advertising regulations, and FINRA, SEC, MSRB, and SIPC rules.

Serves as FINRA’s liaison on state legislative and regulatory matters. Monitors initiatives affecting securities regulation, prepares comment letters and testimony, advises executives, manages stakeholder and regulator relationships, oversees lobbying consultants, and negotiates complex inter-organizational issues. Represents FINRA at conferences and events while providing timely regulatory guidance across the organization. The role requires independent judgment, strong securities regulation knowledge, excellent communication, and collaboration in a hybrid environment.

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.

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 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.