FINRA

The Senior Analyst in Market Operations section of Transparency Services supports the operation and monitoring of FINRAs trade reporting facilities including communications with member firms vendors exchanges regulatory organizations and other FINRA departments. This position is a pro

The Senior Analyst in Market Operations section of Transparency Services supports the operation and monitoring of FINRAs trade reporting facilities including communications with member firms vendors exchanges regulatory organizations and other FINRA departments. This position is a pro

The Principal Analyst demonstrates a highly proficient level of competence in identifying risks developing regulatory strategies to address those risks and working with internal and external constituents to achieve the goals of the department.Essential Job Functions:Lead or participat

The Principal Analyst demonstrates a highly proficient level of competence in identifying risks developing regulatory strategies to address those risks and working with internal and external constituents to achieve the goals of the department.Essential Job Functions:Lead or participat

The Senior Systems Administrator/Engineer Identity and Infrastructure designs automates secures and supports enterprise identity and hybrid infrastructure services across Azure AWS and on-premises environments. The role provides senior-level expertise in Active Directory Entra ID Win

The Senior Systems Administrator/Engineer Identity and Infrastructure designs automates secures and supports enterprise identity and hybrid infrastructure services across Azure AWS and on-premises environments. The role provides senior-level expertise in Active Directory Entra ID Win

Major Purpose: The Lead Analyst will directly manage the business and data analysis activities on one or more complex Market data intake and processing projects. The Lead Analyst will collaborate with upstream data vendors/producers and downstream consumers to contribute toward the vi

Major Purpose: The Lead Analyst will directly manage the business and data analysis activities on one or more complex Market data intake and processing projects. The Lead Analyst will collaborate with upstream data vendors/producers and downstream consumers to contribute toward the vi

This Principal Analyst position within Regulatory Operations Surveillance 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 guid

This Principal Analyst position within Regulatory Operations Surveillance 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 guid

Works autonomously having responsibility to deliver on longer term outcomes. Reports directly to a Director or Senior Director. Requires extensive knowledge of multiple/related functional areas and industry practices.Essential Job Functions:Has specialized depth and/or breadth in unst

Works autonomously having responsibility to deliver on longer term outcomes. Reports directly to a Director or Senior Director. Requires extensive knowledge of multiple/related functional areas and industry practices.Essential Job Functions:Has specialized depth and/or breadth in unst

The Specialist Corporate Real Estate serves as a frontline resource supporting FINRAs hybrid workplace model and facilities operations. Under general direction of the manager this role supports workspace management with comprehensive facilities coordination to ensure seamless workplac

The Specialist Corporate Real Estate serves as a frontline resource supporting FINRAs hybrid workplace model and facilities operations. Under general direction of the manager this role supports workspace management with comprehensive facilities coordination to ensure seamless workplac

Major Purpose: The Staff Analyst will guide individual product features through the development lifecycle from initial scoping through to production roll-out to ensure an excellent outcome. Staff Analysts will be able to represent the business user to the delivery team and anticipate

Major Purpose: The Staff Analyst will guide individual product features through the development lifecycle from initial scoping through to production roll-out to ensure an excellent outcome. Staff Analysts will be able to represent the business user to the delivery team and anticipate

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

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 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

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 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