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Conducts securities market surveillance reviews to identify unusual trading activity and potential violations of FINRA, federal, and client rules. Responsibilities include researching regulations, documenting findings, preparing reports, referring cases for investigation, supporting surveillance analytics and process improvements, and coaching colleagues. The role also involves special projects, industry monitoring, and collaboration across Regulatory Operations in a hybrid environment.

Conducts securities-market surveillance reviews to identify unusual trading activity and potential violations of federal, FINRA, MSRB, and client rules. Analyzes trading activity, documents investigations, drafts regulatory updates, presents findings, and supports the development and enhancement of surveillance analytics, tools, and processes. The role also participates in cross-functional initiatives and special projects within Regulatory Operations.

Conducts risk monitoring and ongoing assessments of FINRA member firms, including complex and elevated-risk organizations. Analyzes regulatory intelligence, financial data, business models, and industry risks; communicates findings and recommends regulatory responses. Collaborates across departments, supports technology initiatives and special projects, and mentors entry-level staff. The role requires applying securities regulations, assessing risks such as fraud, money laundering, and market risk, and reporting trends to senior management in a hybrid work environment.

Conducts complex securities surveillance reviews to identify potential violations of federal, FINRA, MSRB, and exchange rules. Develops and enhances surveillance analytics and processes, researches regulatory updates, documents findings, supports referrals, communicates with firms and stakeholders, and mentors colleagues. Leads special projects and represents FINRA in internal meetings while promoting investor protection and market integrity.

Leads end-to-end advanced analytics projects supporting regulatory operations and cross-market surveillance. Defines quantitative approaches, develops predictive pipelines, drives data and infrastructure availability, and delivers analytics capabilities across teams. Engages stakeholders, gathers use cases, provides research and insights, mentors analysts, and advances enterprise analytics strategy. Requires strong programming, machine learning, data mining, and analytical skills in a hybrid environment with occasional travel.

Conducts securities market surveillance reviews to identify unusual trading activity and potential violations of FINRA, MSRB, federal, and client rules. Researches regulatory guidance, develops and enhances surveillance analytics and processes, prepares investigation reports, documents review results, and makes referrals to enforcement or outside agencies. Provides subject matter expertise, coaches colleagues, participates in surveillance initiatives, and supports routine and special projects.

Leads strategic business communications for FINRA business units, developing external communications strategies, messaging, go-to-market plans, executive engagement, events, and reputation-risk responses. Advises senior leaders on high-profile and sensitive initiatives, translates complex financial, regulatory, and research information into compelling audience-focused content, and collaborates across media, web, social, creative, and internal communications teams. Measures communications effectiveness using data and audience insights while mentoring colleagues and supporting enterprise storytelling.

Conducts risk monitoring and ongoing assessments of FINRA member firms, including complex and elevated-risk firms. Analyzes regulatory intelligence, financial and external data, business models, and industry risks; develops recommendations and regulatory responses; collaborates with internal and external stakeholders; leads special projects and technology initiatives; and mentors junior staff. Requires strong knowledge of securities regulations, FINRA risk fundamentals, financial analysis, U.S. GAAP, and relevant industry risks.

Conducts complex reviews and analyses of FINRA member firms’ public communications for compliance with securities advertising regulations. Coordinates evaluations with FINRA departments and other regulators, documents findings, supports disciplinary processes, reviews analytical quality, and provides staff training and coaching. The role also contributes to rule development, policy initiatives, conferences, and on-site examinations.

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.