Financial Industry Regulatory Authority

The Senior Specialist is primarily responsible for reporting on Congressional hearings and legislative markups as well as other relevant events; responding to congressional inquiries and other requests for information; serving on the project management team for all aspects of planning More...

The Enterprise Data Privacy Office (EDPO) Office (the Privacy Office) is responsible for ensuring that FINRA meets or exceeds its legal and ethical obligations with respect to the security and use of information it collects while executing its responsibilities fostering the confidence More...

Execute functions in support of 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 complexity with modera More...

The Program Manager will be responsible for developing and implementing strategies to optimize and improve business processes and employees experiences. The Program Manager will work closely with process owners executive sponsors and stakeholders across multiple lines of business to i More...

The Office of General Counsel (OGC) Associate Director Regulatory Policy Legal Support oversees a team of Regulatory Policy specialists and supports the achievement of highquality legal support for OGCs rulemaking and interpretive functions as well as legal and advisory support to oth More...

This position is active in supporting and executing job functions in all phases of the mediation process. This entails assisting and supporting the solicitation efforts for parties to mediate mediator selection mediation scheduling/securing location mediation administration and mediat More...

The Lead Data Steward CRED is responsible for utilizing relevant data expertise and drives coordination by establishing processes for how stewards execute their activities (the specific work steps tools used etc. how they communicate their actions to their peer stewards and other busi More...

The Corporate Actions Analyst performs a variety of specific duties depending on the section to which assigned generally including assisting in the daytoday operational functions of the OTC market in the processing of various Corporate Actions.This is entrylevel professional work in w More...

This Principal Analyst position within the Surveillance and Market Intelligence section of Market Regulation and is responsible for conducting complex surveillance reviews under minimal supervision and identifying violations of applicable federal securities FINRA and RSA Client Exchan More...

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 More...

The Principal Policy Advisor supports case administration and the National Arbitration program for FINRA Dispute Resolution Services (DRS).Please note: Law Degree is Ideal for this role!Essential Job functions:Develops and implements policies regarding FINRAs arbitration program. Work More...

The Lead Enterprise Data Steward of the Data Management and Governance Office is responsible for utilizing relevant data expertise and drives coordination by establishing processes for how stewards execute their activities (the specific work steps tools used etc. and how they communic More...

The Associate Principal Business Analyst is responsible for providing continuous operational and technical support by conducting handson data analysis and reporting. The analyst will work very closely with the technology team to resolve complex cases and escalate issues to management More...

Legal externs work closely with Enforcements attorneys investigators and management to assist Enforcement in investigating and determining whether FINRA regulated firms and/or associated individuals violated the federal securities laws or FINRA or MSRB rules. Externs perform a variety More...

The Associate Director Appellate Legal Support oversees a team of case administrators and paralegals and supports the achievement of highquality legal support for FINRAs appeal process for disciplinary cases and nondisciplinary matters before the National Adjudicatory Council (NAC) an More...

The Principal Analyst in Surveillance Optimization and Innovation is responsible for conducting Quality Assurance (QA) reviews of surveillance activity performed by and associated with Market Regulation & Transparency Services (MRTS) Surveillance and Market Intelligence (SMI) Grou More...

Missiondriven Missiondelivered. FINRA aims to make an impact. Apply now for an exciting opportunity to join our Firm Examinations Team focusing on Business Conduct risks associated with Private Placement offerings. Grow your career by leveraging your financial industry or legal experi More...

The Senior Principal Analyst in Surveillance Optimization and Innovation is responsible for conducting Quality Assurance (QA) reviews of surveillance activity performed by and associated with Market Regulation & Transparency Services (MRTS) Surveillance and Market Intelligence (SM More...

The Senior Program Administrator provides highlevel administrative and programmatic support to employees and senior executives within the Office of General Counsel (OGC) Regulatory Policy Capital Markets and Appellate offices. This role ensures the efficient operation of the offices a More...

Essential Job Functions:The Vice President Enforcement Legal is responsible for leading their attorney teams on timely highimpact and noteworthy investigations and disciplinary actions in coordination with other VPs within Enforcement Legal and FINRAs Regulatory Operations partners as More...