FINRA

Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.Essential Job Functions: This is a mid-level position with staff developing in role and reporting to a Risk Monitoring Director and supports both

Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.Essential Job Functions: This is a mid-level position with staff developing in role and reporting to a Risk Monitoring Director and supports both

The Director of Digital Strategy & Governance in Corporate Communications is responsible for developing and executing digital strategy for FINRAs internal and external platforms. The Director leads digital governance platform optimization analytics-driven decision making and cross-fun

The Director of Digital Strategy & Governance in Corporate Communications is responsible for developing and executing digital strategy for FINRAs internal and external platforms. The Director leads digital governance platform optimization analytics-driven decision making and cross-fun

This Principal Analyst position within Regulatory Operations Surveillance and is responsible for conducting complex surveillance reviews under minimal supervision and identifying violations of applicable federal securities FINRA and RSA Client Exchange rules. Mentors other staff and

This Principal Analyst position within Regulatory Operations Surveillance and is responsible for conducting complex surveillance reviews under minimal supervision and identifying violations of applicable federal securities FINRA and RSA Client Exchange rules. Mentors other staff and

This is an experienced individual contributor role in Regulatory Operations Risk Intelligence Operations Center (RIOC) which works independently with minimal supervision to assist with the transformation of risk data into coordinated regulatory action across Regulatory Operations. Thi

This is an experienced individual contributor role in Regulatory Operations Risk Intelligence Operations Center (RIOC) which works independently with minimal supervision to assist with the transformation of risk data into coordinated regulatory action across Regulatory Operations. Thi

Working independently the Lead Developer owns development of software products improves overall product quality throughout the software development life cycle and mentors other Software Engineers.This role combines strategic technical leadership with hands-on engineering requiring som

Working independently the Lead Developer owns development of software products improves overall product quality throughout the software development life cycle and mentors other Software Engineers.This role combines strategic technical leadership with hands-on engineering requiring som

The Principal Analyst in Corporate Financing is responsible for independently conducting analyses of complex public offering and/or private placement filings and investigative matters subject to FINRA Rulesand 5123. Assists with secondary review of high-risk filings and matters and pr

The Principal Analyst in Corporate Financing is responsible for independently conducting analyses of complex public offering and/or private placement filings and investigative matters subject to FINRA Rulesand 5123. Assists with secondary review of high-risk filings and matters and pr

The Director of Execution Readiness & Mobilization is a role within the Risk Intelligence Operations Center (RIOC) responsible for turning risk intelligence and regulatory priorities into coordinated execution-ready work. The role serves as the operational bridge between risk identifi

The Director of Execution Readiness & Mobilization is a role within the Risk Intelligence Operations Center (RIOC) responsible for turning risk intelligence and regulatory priorities into coordinated execution-ready work. The role serves as the operational bridge between risk identifi

The Director of Strategic Business Communications in Corporate Communications - Office of Investor Education/Foundation (OIE) Regulatory Economics and Market Analysis (REMA) Enterprise and Financial Solutions (EFS) serves as a primary liaison between assigned FINRA business units su

The Director of Strategic Business Communications in Corporate Communications - Office of Investor Education/Foundation (OIE) Regulatory Economics and Market Analysis (REMA) Enterprise and Financial Solutions (EFS) serves as a primary liaison between assigned FINRA business units su

The Payroll Tax Lead independently manages payroll tax compliance and related deliverables across federal state and local jurisdictions in a multi-state hybrid work environment. The role serves as the Payroll teams primary resource and first escalation point for moderately complex emp

The Payroll Tax Lead independently manages payroll tax compliance and related deliverables across federal state and local jurisdictions in a multi-state hybrid work environment. The role serves as the Payroll teams primary resource and first escalation point for moderately complex emp

Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.Essential Job Functions:This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identify

Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.Essential Job Functions:This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identify

The Principal Investigator is an advanced professional responsible for independently conducting and completing high risk and complex fraud-related investigations that focus on detection investigation and mitigation of fraud-related trends typologies threats and risks within the securi

The Principal Investigator is an advanced professional responsible for independently conducting and completing high risk and complex fraud-related investigations that focus on detection investigation and mitigation of fraud-related trends typologies threats and risks within the securi

Job Description SummaryThe Principal Investigator is an advanced professional responsible for independently conducting and completing high risk and complex money laundering-related investigations that focus on detection investigation and mitigation of money laundering-related trends t

Job Description SummaryThe Principal Investigator is an advanced professional responsible for independently conducting and completing high risk and complex money laundering-related investigations that focus on detection investigation and mitigation of money laundering-related trends t

The Associate Principal Business Analyst in Credentialing Registration Education and Disclosure Regulatory (CRED) Applications & Programs team is responsible for providing operational and functional application support through data analysis reporting and cross-functional collaboration

The Associate Principal Business Analyst in Credentialing Registration Education and Disclosure Regulatory (CRED) Applications & Programs team is responsible for providing operational and functional application support through data analysis reporting and cross-functional collaboration

The Principal Investigator is an advanced professional responsible for independently conducting and completing investigations of high risk and complexity across assigned misconduct areas. This role exercises strong independent judgment in developing and executing investigative strateg

The Principal Investigator is an advanced professional responsible for independently conducting and completing investigations of high risk and complexity across assigned misconduct areas. This role exercises strong independent judgment in developing and executing investigative strateg

The Senior Principal Research Analyst in Regulatory Operations Analytics is responsible for the planning and execution of analytics projects throughout their lifecycle. This includes defining the approach having the ability to scope and drive analytics with the appropriate quantitativ

The Senior Principal Research Analyst in Regulatory Operations Analytics is responsible for the planning and execution of analytics projects throughout their lifecycle. This includes defining the approach having the ability to scope and drive analytics with the appropriate quantitativ

Oversees and supports day-to-day security operations for assigned FINRA multi-site locations.Essential Job Functions:Supervises contract security officers at assigned location(s) and supports established security program initiatives and standards for FINRA offices. Serves as liaison w

Oversees and supports day-to-day security operations for assigned FINRA multi-site locations.Essential Job Functions:Supervises contract security officers at assigned location(s) and supports established security program initiatives and standards for FINRA offices. Serves as liaison w

The Associate Director serves as primary delegate to the Director and is the senior position accountable for the full scope of security and life-safety across the organization. This role carries enterprise-wide responsibility for safeguarding FINRAs personnel assets and operational co

The Associate Director serves as primary delegate to the Director and is the senior position accountable for the full scope of security and life-safety across the organization. This role carries enterprise-wide responsibility for safeguarding FINRAs personnel assets and operational co

The Senior Security Analyst is responsible for supporting functions spanning IT Risk Management and Governance & Compliance operations. This role will work across enterprise-wide cybersecurity initiatives balancing strategic risk with tactical compliance execution.Essential Job Functi

The Senior Security Analyst is responsible for supporting functions spanning IT Risk Management and Governance & Compliance operations. This role will work across enterprise-wide cybersecurity initiatives balancing strategic risk with tactical compliance execution.Essential Job Functi

The Quantitative Analyst in Regulatory Operations Analytics is responsible for the planning and execution of analytics projects throughout their lifecycle. This includes defining the approach having the ability to scope and drive analytics with the appropriate quantitative methods and

The Quantitative Analyst in Regulatory Operations Analytics is responsible for the planning and execution of analytics projects throughout their lifecycle. This includes defining the approach having the ability to scope and drive analytics with the appropriate quantitative methods and

Works under minimal supervision and maintains base source code branches and build environment.Essential Job Functions:Responsible for the quality of software and hardware configurations implemented for a single hardware/software environment.Create and validate product buildsRecommends

Works under minimal supervision and maintains base source code branches and build environment.Essential Job Functions:Responsible for the quality of software and hardware configurations implemented for a single hardware/software environment.Create and validate product buildsRecommends