Financial Industry Regulatory Authority

The Principal Investigator Specialist Teams conducts high complexity routine and special investigations of FINRA member firms; investigates potentially suspicious activities of persons associated with FINRA member firms; and provides guidance to Member Supervision staff on their compl More...

This position is for a Principal Examiner on the Exam Intelligence Response team that is primarily focused on targeted reviews at member firms that conduct business in areas that present emerging/evolving risk (thematic exam). The position is an expert level professional role utilizin More...

Conducts IT audits to provide technology and senior management with an independent assessment of whether the system of internal controls provides reasonable assurance that business objectives are achieved; resources are used economically and efficiently; governing laws and regulations More...

To conduct riskbased examinations of FINRA member firms and registered representativesEssential Job Functions: Execute and advise on Market Access Rule (SEC Rule 15c35 reviews on examinations of medium to high risk and/or complex trading firms with moderate supervision.Evaluate firms More...

The Director of Procurement & Supplier Management is responsible for leading the procurement strategy of the organization managing supplier relationships and ensuring the efficient acquisition of goods and services necessary for the organizations operations. This role oversees a t More...

The Director Business Analysis is a critical role within Product Management that strategically works with management to plan and design future projects as part of the overall vision for Transparency Services (TS). Responsible for business analysis project management development of bus More...

Execute functions in support of fixed income specialized units missions including but not limited to examinations investigations consultations advisory knowledge sharing and quality assurance.Essential Job Functions:Leads examinations of low mediumlow and mediumhigh risk and complexit More...

The Senior Director within FINRAs Cyber and Analytics Unit (CAU) leads the CyberEnabled Fraud (CEF) team responsible for the oversight of the planning and of cyberenabled fraud investigations involving member firms and the Analytics Threat Targeting team which conducts threat identif More...

Strategic Intelligence & Analytics (StratIntel) is an organization within FINRAs Member Supervision department that provides proactive and strategic intelligence in support of investor protection and market integrity translating into better more informed and timely regulatory deci More...

We are seeking a highly skilled and versatile lead developer to join our talented team working on a cuttingedge generative AI regulatory chat assistant. This role offers an exciting opportunity to contribute to both backend and frontend development shape architectural decisions and gu More...

FINRAs National Cause Program (NCP) is charged with the investigation of cause matters involving potential fraud or other serious misconduct from various sources including regulatory filings investor complaints tips referrals and other regulatory sources. The Principal Investigator NC More...

The Senior Analyst in Market Regulation & Transparency Services (MRTS) Business Operations and Enablement supports the operations of the MRTS regulatory teams (e.g. SMI MI). This position promotes consistency for such operational activities and works to resolve operational issues More...

The Associate Specialist in the FINRA Support Center is responsible for working with internal and external constituents to provide specialized technical support to Industry Members. The Associate Specialist applies analytical skills to conduct research and coordinate processing of re More...

FINRAs Initial Review Group (IRG) is the centralized unit for the intake review and analysis of regulatory intelligence received through a variety of sources including internal sources regulatory tips customer complaints firm regulatory filings arbitration filings and referrals from o More...

FINRAs Department of Enforcement (Enforcement) is tasked with investigating potential FINRA Rules and securities law violations and when warranted bringing formal disciplinary actions against firms and their associated persons.The Associate Principal Investigator performs investigativ More...

The Senior Security Engineer works under minimal supervision and will perform information security tasks commensurate with their experience that ensure applications and projects meet defined quality standards.Apply established and ad hoc processes and techniques to identify validate p More...

The Credit Regulation Data Specialist is responsible for supporting the department in the oversight and application of the margin rules and regulations. This entails applying knowledge and analytical skills regarding various rules regulations and procedures to ensure that regulatory f More...

The Product Manager owns the vision and strategy roadmap and feature definition for a product within a product group. Responsibilities include writing stories to define outcomes and product requirements as well as planning and managing product features through the product development More...

The Lead Developer working independently will develop test debug and document software components commensurate with their experience as well as direct development staff in support of a software engineering effort.Essential Job Functions:Review and analyze complex process system and / More...

FINRAs Initial Review Group (IRG) is the centralized unit for the intake review and analysis of regulatory intelligence received through a variety of sources including internal sources regulatory tips customer complaints firm regulatory filings arbitration filings and referrals from o More...