Financial Industry Regulatory Authority, Inc. Jobs

This position is an established individual contributor in Business Enablement, Member Supervision Operations, Procedures and Standards (MS OPS). This role works under moderate supervision to to develop strategies to optimize and improve our business processes. This role will evaluate the program for areas of improvement, help to resolve complex issues, and support regulatory initiatives by partnering with key stakeholders. This role requires proj...

The Associate Principal Analyst, in the Member Supervision Strategic Intelligence & Analytics team is responsible for analyzing member firm data collected during examinations and investigations. and creating analytics that identify potential risks and weaknesses in the associated controls and compliance with member firms. The role works cross-functionally across FINRA’s Risk Monitoring, Firm Examination, National Cause and Financial Crimes, Enfor...

This Program Risk Office Analyst role is for PRO’s Risk Monitoring & MAP team. The candidate will be tasked with executing and communicating the PRO analysis of the business function(s) to ensure an effective and consistent national program. Essential Job Functions. Conducts PRO reviews of all levels of complexity with minimal supervision. Contribute to advice and counsel provided to the programs on key initiatives, enhancements, and remediation....

The Associate Director of Engineering, Learning is responsible for leading the strategic direction and operational performance of enterprise learning technologies. This role focuses on the management, development, and enhancement of learning platforms, primarily the Learning Experience Platform (LXP) and Learning Management System (LMS). The Associate Director collaborates closely with technical, operational, and learning teams to drive the enter...

Mission-driven, Mission-delivered. FINRA aims to make an impact. Apply now for an exciting opportunity to join our Firm Examinations Team, focusing on Financial and Operational risks. Grow your career by leveraging your financial industry or legal experience to conduct risk-based examinations of FINRA Member firms. Our Examinations Program is a critical component of FINRA’s regulatory operations and one of the primary means by which we oversee th...

The Senior Director and RSA Advisor (“Senior Director”) will provide expert legal and policy advice to the Enforcement Department on all aspects pertaining to Enforcement’s contractual services on behalf of the RSA Exchanges. The Senior Director understands each RSA Exchange’s rules, programs and priorities and proactively identifies and addresses risks to facilitate effective regulation in Enforcement matters on their behalf. The Senior Director...

The Principal, EFS Strategic Initiatives is a critical position supporting the Enterprise and Financial Solutions (EFS) department. This role is responsible for managing and supporting a portfolio of departmental projects and initiatives of various complexities related to the strategic priorities and goals of the department. Essential Job Functions. Direct responsibility for a portfolio of projects and initiatives under Strategic Initiatives (inc...

The Senior Litigation Counsel works under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC). Essential Job Functions. Represent FINRA in a first or second chair capacity in complex disciplinary proceedings involving violations of the federal securities laws, FINRA and NASD Rules, Muni...

The position is responsible for leading initiatives, managing projects, ensuring compliance, responding to client issues, and performing advanced benchmarking and data analysis for benefits programs. This is an individual contributer role with responsibilities to oversee FINRA retirement plans. Essential Job Functions. Primary responsibility for. managing the overall execution of the company's Qualified and Non-Qualified Retirement Plans. This in...

The Senior Appellate Counsel works under the Vice President, Litigation to execute the Enforcement Department’s national appellate program. Essential Job Functions. Represent Enforcement in appeals before the National Adjudicatory Council by briefing or arguing appeals.   Coach other Enforcement attorneys briefing and arguing appeals. Independently conducts research and prepares appellate briefs that require minimal editing. reviews and edits app...

The Principal within the Analytics Team is responsible for overseeing the development, implementation, and maintenance of advanced financial models that support budgeting, forecasting, and strategic planning within the finance department. This role involves leading and mentoring junior analysts, ensuring the accuracy and efficiency of data analysis, and collaborating with other departments to align financial strategies with organizational goals. ...

FINRA, a financial industry regulator, possesses a massive amount of data and is dedicated to maximizing its value to protect investors and safeguard market integrity. Establishing a formal data governance program is crucial to achieving this mission. We are actively recruiting a highly experienced leader to spearhead the data governance program and establish an efficient and highly effective data governance framework. The Senior Director will be...