FINRA

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

FINRA Enforcement Associates Honors Program make meaningful contributions to Enforcements investigations of and decisions about whether to bring disciplinary actions against individuals and firms in the financial industry. Honors Associates gain substantive hands-on legal experience t

FINRA Enforcement Associates Honors Program make meaningful contributions to Enforcements investigations of and decisions about whether to bring disciplinary actions against individuals and firms in the financial industry. Honors Associates gain substantive hands-on legal experience t

The Principal Analyst for Financial Disclosure & Trading in the Ethics and Compliance Office (ECO) is responsible for performing activities intended to ensure the accuracy and timeliness of employee financial disclosures and the detection and resolution of trading violations. The Prin

The Principal Analyst for Financial Disclosure & Trading in the Ethics and Compliance Office (ECO) is responsible for performing activities intended to ensure the accuracy and timeliness of employee financial disclosures and the detection and resolution of trading violations. The Prin

The Test Development Editor strengthens the writing quality of content used in FINRA and client exams and continuing education (CE) programs. This individual is responsible for ensuring all exam and CE content uses appropriate style grammar and terminology. The editor maintains progra

The Test Development Editor strengthens the writing quality of content used in FINRA and client exams and continuing education (CE) programs. This individual is responsible for ensuring all exam and CE content uses appropriate style grammar and terminology. The editor maintains progra

The Director is generally autonomous in their oversight and active management for a Technology program and/or practice area and most often reports directly to a Senior Director or Vice President. This role leads the strategy engineering and operations of enterprise Web Application Fir

The Director is generally autonomous in their oversight and active management for a Technology program and/or practice area and most often reports directly to a Senior Director or Vice President. This role leads the strategy engineering and operations of enterprise Web Application Fir

In support of Regulatory Operations strategic activities provides overall business management and knowledge discovery for all phases of surveillance strategic and analytical development efforts including thorough knowledge of functions and practices industry standards and knowledge of

In support of Regulatory Operations strategic activities provides overall business management and knowledge discovery for all phases of surveillance strategic and analytical development efforts including thorough knowledge of functions and practices industry standards and knowledge of

Are you a detail-oriented professional with a passion for process improvement and data-driven decision-making Join FINRAs Information Operations team as a Quality Assurance Analyst where your work directly supports investor protection and market this role youll take ownership of qual

Are you a detail-oriented professional with a passion for process improvement and data-driven decision-making Join FINRAs Information Operations team as a Quality Assurance Analyst where your work directly supports investor protection and market this role youll take ownership of qual

The primary duties of this position are to engage in statistical econometric and financial analysis projects to evaluate the risks costs and impacts of market practices and regulatory alternatives in support of FINRAs mission.Market Structure and Emerging Technology Focus:This positio

The primary duties of this position are to engage in statistical econometric and financial analysis projects to evaluate the risks costs and impacts of market practices and regulatory alternatives in support of FINRAs mission.Market Structure and Emerging Technology Focus:This positio

The primary duties of this position are to engage in statistical econometric and financial analysis projects to evaluate the risks costs and impacts of market practices and regulatory alternatives in support of FINRAs mission.Essential Job Functions: Contribute to and support research

The primary duties of this position are to engage in statistical econometric and financial analysis projects to evaluate the risks costs and impacts of market practices and regulatory alternatives in support of FINRAs mission.Essential Job Functions: Contribute to and support research

The Principal Psychometrician for Market and Regulatory Services Credentialing Registration Education & Disclosure (CRED) department provides expert measurement services in support of testing and continuing education programs ensuring the delivery of valid reliable assessments that co

The Principal Psychometrician for Market and Regulatory Services Credentialing Registration Education & Disclosure (CRED) department provides expert measurement services in support of testing and continuing education programs ensuring the delivery of valid reliable assessments that co

To ensure the implementation and completion of the Risk Monitoring Program for a specific Organizational Business Model or Business Segment through daily management of Risk Monitoring Analysts.Essential Job Functions:Actively supervises the activities of Risk Monitoring Analysts in th

To ensure the implementation and completion of the Risk Monitoring Program for a specific Organizational Business Model or Business Segment through daily management of Risk Monitoring Analysts.Essential Job Functions:Actively supervises the activities of Risk Monitoring Analysts in th

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

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