FINRA

The Helpline Analyst will work with internal and external constituents to provide specialized technical support to the Consolidated Audit Trail (CAT) Industry Members. The Analyst applies analytical skills to conduct research and coordinate processing of requests and issues. This is

The Helpline Analyst will work with internal and external constituents to provide specialized technical support to the Consolidated Audit Trail (CAT) Industry Members. The Analyst applies analytical skills to conduct research and coordinate processing of requests and issues. This is

The Senior Principal Analyst of CAT Business Operations leads strategic initiatives and project delivery for the Consolidated Audit Trail (CAT) a critical regulatory program that ensures market transparency and investor protection. This role defines project milestones leads requiremen

The Senior Principal Analyst of CAT Business Operations leads strategic initiatives and project delivery for the Consolidated Audit Trail (CAT) a critical regulatory program that ensures market transparency and investor protection. This role defines project milestones leads requiremen

Strategic Intelligence is a team within FINRAs Risk & Intelligence organization that provides strategic and tactical intelligence impacting member firms investors and the financial markets translating into better more informed and timely regulatory decisions. The Strategic Intelligenc

Strategic Intelligence is a team within FINRAs Risk & Intelligence organization that provides strategic and tactical intelligence impacting member firms investors and the financial markets translating into better more informed and timely regulatory decisions. The Strategic Intelligenc

The Enforcement Director manages a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages from inception to completion. The Director is the day-to-day manager of a large and diverse docket of cases responsible for ensuring that the outcome in e

The Enforcement Director manages a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages from inception to completion. The Director is the day-to-day manager of a large and diverse docket of cases responsible for ensuring that the outcome in e

FINRA is seeking an experienced Product Manager to lead the Graph Platform and AI-Graph Integration initiatives. This role will work at the intersection of regulatory operations data intelligence and generative AI partnering with RegOps leadership to transform FINRA from reactive to p

FINRA is seeking an experienced Product Manager to lead the Graph Platform and AI-Graph Integration initiatives. This role will work at the intersection of regulatory operations data intelligence and generative AI partnering with RegOps leadership to transform FINRA from reactive to p

The Senior Advisor: Market Regulation and Regulatory Service Agreement (RSA) serves as a strategic regulatory advisor and subject matter expert on market structure market regulation and Regulatory Services Agreement (RSA) matters. This role provides critical leadership in analyzing re

The Senior Advisor: Market Regulation and Regulatory Service Agreement (RSA) serves as a strategic regulatory advisor and subject matter expert on market structure market regulation and Regulatory Services Agreement (RSA) matters. This role provides critical leadership in analyzing re

The Director of the Crypto Fraud & Market Abuse team is responsible for leading a highly skilled team of investigators that focus on detection investigation and mitigation of crypto-related fraud and market abuse within the securities industry. The Director of the Crypto Fraud & Marke

The Director of the Crypto Fraud & Market Abuse team is responsible for leading a highly skilled team of investigators that focus on detection investigation and mitigation of crypto-related fraud and market abuse within the securities industry. The Director of the Crypto Fraud & Marke

The Lead Product Manager - Surveillance owns the vision and strategy roadmap and feature definition for multiple products in the Market Surveillance space. Responsibilities include defining the roadmap as well as planning and managing products and product features through the product

The Lead Product Manager - Surveillance owns the vision and strategy roadmap and feature definition for multiple products in the Market Surveillance space. Responsibilities include defining the roadmap as well as planning and managing products and product features through the product

The Director of the Crypto Exam and Regulatory Conduct team is responsible for leading a highly skilled team of investigators that focus on crypto-related investor protection risks market conduct rules and regulatory obligations. The Director of the Crypto Exam and Regulatory Conduct

The Director of the Crypto Exam and Regulatory Conduct team is responsible for leading a highly skilled team of investigators that focus on crypto-related investor protection risks market conduct rules and regulatory obligations. The Director of the Crypto Exam and Regulatory Conduct

This Associate Principal Analyst position within the Surveillance and Market Intelligence section of Regulatory Operations Surveillance is responsible for conducting routine surveillance reviews of moderate to high complexity to identify unusual market activity for evidence of violat

This Associate Principal Analyst position within the Surveillance and Market Intelligence section of Regulatory Operations Surveillance is responsible for conducting routine surveillance reviews of moderate to high complexity to identify unusual market activity for evidence of violat

The Senior Director is a key member of the Market Regulation Surveillance and Market Intelligence sections leadership team and is responsible for the effective generation and progression of regulatory reviews conducted by the section. This role communicates and innovates with peers ac

The Senior Director is a key member of the Market Regulation Surveillance and Market Intelligence sections leadership team and is responsible for the effective generation and progression of regulatory reviews conducted by the section. This role communicates and innovates with peers ac

About the RoleJoin FINRAs Risk Monitoring team and play a meaningful role in protecting investors and maintaining market integrity. As a Senior Risk Monitoring Analyst youll work at the forefront of financial regulatory oversight engaging directly with complex high-profile member fir

About the RoleJoin FINRAs Risk Monitoring team and play a meaningful role in protecting investors and maintaining market integrity. As a Senior Risk Monitoring Analyst youll work at the forefront of financial regulatory oversight engaging directly with complex high-profile member fir

About the RoleThis is a rare opportunity to sit at the intersection of financial markets regulatory policy and product strategy at one of the most influential organizations in the U.S. securities industry. As Director Transparency Services OTC Equities you will own the business and P

About the RoleThis is a rare opportunity to sit at the intersection of financial markets regulatory policy and product strategy at one of the most influential organizations in the U.S. securities industry. As Director Transparency Services OTC Equities you will own the business and P

The Senior Principal Investigator in Crypto Asset Investigations (CAI) conducts high-complexity investigations into crypto asset activities of FINRA member firms and their associated persons; provides subject matter expertise to Regulatory Operations staff on crypto asset matters and

The Senior Principal Investigator in Crypto Asset Investigations (CAI) conducts high-complexity investigations into crypto asset activities of FINRA member firms and their associated persons; provides subject matter expertise to Regulatory Operations staff on crypto asset matters and

Under limited supervision this role partners with internal stakeholders to understand business requirements and manage the process for evaluating pricing and competitively sourcing goods and services. This role tracks and supports complex contractual transactions ensuring timely and a

Under limited supervision this role partners with internal stakeholders to understand business requirements and manage the process for evaluating pricing and competitively sourcing goods and services. This role tracks and supports complex contractual transactions ensuring timely and a

This position is responsible for supporting and administering Total Rewards (Compensation and Benefits) programs and the systems that enable them. The role partners with managers employees and HR colleagues to deliver high-quality Total Rewards services ensure program compliance and d

This position is responsible for supporting and administering Total Rewards (Compensation and Benefits) programs and the systems that enable them. The role partners with managers employees and HR colleagues to deliver high-quality Total Rewards services ensure program compliance and d

About FINRAFINRA (the Financial Industry Regulatory Authority) is a not-for-profit self-regulatory organization dedicated to protecting investors and ensuring the integrity of Americas financial markets. We oversee brokerage firms and their registered representatives working every day

About FINRAFINRA (the Financial Industry Regulatory Authority) is a not-for-profit self-regulatory organization dedicated to protecting investors and ensuring the integrity of Americas financial markets. We oversee brokerage firms and their registered representatives working every day

This Senior Principal Investigator Crypto Asset Investigations Blockchain Technology serves as a FINRA expert applying specialized knowledge of crypto assets blockchains smart contracts and other onchain technologies and crypto asset compliance to address complex regulatory challenge

This Senior Principal Investigator Crypto Asset Investigations Blockchain Technology serves as a FINRA expert applying specialized knowledge of crypto assets blockchains smart contracts and other onchain technologies and crypto asset compliance to address complex regulatory challenge

About FINRAFINRA (the Financial Industry Regulatory Authority) is a not-for-profit self-regulatory organization dedicated to protecting investors and ensuring the integrity of Americas financial markets. We oversee brokerage firms and their registered representatives working every day

About FINRAFINRA (the Financial Industry Regulatory Authority) is a not-for-profit self-regulatory organization dedicated to protecting investors and ensuring the integrity of Americas financial markets. We oversee brokerage firms and their registered representatives working every day

This position provides operational and analytical support for FINRAs management of criminal justice information (CJI) as required by the Federal Bureau of Investigations (FBIs) Criminal Justice Information Services (CJIS) including the CJIS Security Policy (FBI Policy) and applicable

This position provides operational and analytical support for FINRAs management of criminal justice information (CJI) as required by the Federal Bureau of Investigations (FBIs) Criminal Justice Information Services (CJIS) including the CJIS Security Policy (FBI Policy) and applicable