The Principal Examiner leads examinations and reviews at member firms, identifying trends, gathering intelligence, and mentoring junior staff through complex processes.

Conduct risk-based examinations of trading firms, evaluate compliance with SEC regulations, and mentor junior examiners while analyzing trading data and controls.

The Specialist analyzes and processes intelligence related to cybersecurity risks, develops strategies, and collaborates with stakeholders to mitigate risks to investor protection.

The Senior Director leads FINRA’s Cyber and Analytics Unit, overseeing teams focused on cyber-enabled fraud investigations and analytics. The role includes strategic planning, staff development, and collaboration with regulatory bodies.

The Principal Analyst will lead regulatory initiatives, enhance processes, maintain operational standards, and oversee complex operational issues within Member Supervision Operations.

Conduct risk monitoring activities, support risk assessments, mentor junior staff, and collaborate with departments to communicate regulatory intelligence.

Conduct risk monitoring activities and ongoing risk assessments of FINRA members, mentor junior staff, and interact with internal and external parties.

The Specialist leads examinations, conducts consultations, and provides training related to risk and compliance in financial regulations.

The Vice President of Surveillance Operations leads the strategic and operational aspects of market surveillance, ensuring compliance and quality while overseeing diverse teams and driving process improvements.

Conduct risk monitoring and assessments of FINRA members. Collaborate with departments and mentor entry-level staff while identifying industry risks.

The Associate Principal Analyst will conduct surveillance reviews to identify market violations, develop analytics tools, prepare reports, and train colleagues.

The Principal Analyst manages and enhances FINRA's arbitration program, overseeing case administration, training staff, and ensuring compliance with regulations. The role includes advising on procedural issues and interacting with management, while managing multiple complex projects and responding to inquiries from regulatory bodies.

The Senior Principal Analyst leads operational processes, enhances procedures, collaborates on regulatory initiatives, and improves efficiency within Member Supervision Operations.