Top Tech Jobs & Startup Jobs in NYC, NY

Leads market strategy and regulatory research for Surveillance, assessing regulatory risks, market trends, rule changes, and significant events. Produces executive reports, presentations, SWOT analyses, and risk assessments; supports audits, SEC oversight inspections, and strategic planning. Builds relationships with senior leaders, regulators, and market participants while coordinating cross-functional responses to investor protection risks. Requires extensive securities regulation, broker-dealer operations, market surveillance, regulatory strategy, executive reporting, and leadership experience.

Conduct risk monitoring and ongoing assessments of FINRA member firms, including complex and elevated-risk organizations. Analyze regulatory intelligence, financial and external data, business models, and industry risks; develop recommendations and regulatory responses; collaborate with internal and external stakeholders; lead special projects and technology initiatives; and mentor junior staff. The role requires advanced knowledge of FINRA risk fundamentals, securities regulations, U.S. GAAP, and strong analytical, communication, and research skills.

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.