Jobs at FINRA

Lead and conduct advanced risk monitoring of member firms, analyze regulatory and market developments, provide strategic recommendations, mentor junior staff, coordinate cross-functional assessments, and lead projects and technology initiatives to strengthen FINRAs risk surveillance and regulatory responses.

The Associate Principal Analyst reviews advertising communications for compliance with regulations, mentors staff, and conducts complex reviews of materials while responding to inquiries.

Conduct qualitative market research and regulatory risk analysis to inform regulatory strategy. Produce regular reports, presentations, and SWOT analyses for senior leadership and Surveillance business lines. Support SEC inspections, internal audits, cross‑organization responses to market events, and enterprise risk assessments. Collaborate with stakeholders to prioritize issues and develop strategic goals.

The Associate Principal Analyst reviews advertising materials for compliance with regulatory standards, mentors junior staff, and ensures quality and timely responses to inquiries.

Lead regulatory risk assessment and strategy for Surveillance by conducting market research, managing analysts, producing executive reports, advising senior leadership, coordinating with regulators (SEC) and internal stakeholders, driving process improvements, supporting inspections/audits, and representing FINRA in external engagements to protect investors and ensure market integrity.

The Senior Analyst conducts market surveillance to identify violations, assists projects for analytics, drafts updates, and presents findings to management.

As a Cyber Awareness and Training Lead, you will design cybersecurity tabletop exercises, provide incident management guidance, drive examinations, educate members, and consult on high-stakes issues to enhance industry cyber resilience.