Teams at FINRA

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.

Analyze trading activity to detect potential securities law and SRO rule violations, research regulatory developments, contribute to surveillance analytics and detection methods, prepare detailed reports and referrals, coach colleagues, and support cross-team projects and special initiatives.

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