Jobs at FINRA

Conduct risk monitoring and ongoing assessments of FINRA member firms, including complex and elevated-risk organizations. Analyze regulatory intelligence, financial and external data, business models, and industry risks; develop recommendations and regulatory responses; collaborate with internal and external stakeholders; lead special projects and technology initiatives; and mentor junior staff. The role requires advanced knowledge of FINRA risk fundamentals, securities regulations, U.S. GAAP, and strong analytical, communication, and research skills.

Leads FINRA’s strategic intelligence function, overseeing teams that identify, analyze, and predict threats, emerging risks, and regulatory trends affecting financial markets. Develops intelligence frameworks, collection strategies, assessments, briefings, and executive communications. Advises senior leadership, collaborates with regulators and law enforcement, manages organizational resources, and builds high-performing intelligence teams. Requires extensive intelligence expertise, financial regulatory knowledge, strategic leadership, and the ability to translate technical analysis into actionable insights.

Leads FINRA’s trading and product risk intelligence function, overseeing experts who identify, analyze, and predict regulatory trends, market risks, threats, and critical events. Develops intelligence products and strategic assessments for senior leaders and regulatory stakeholders, establishes collection and dissemination frameworks, and builds relationships with regulators, law enforcement, exchanges, and industry participants. Manages team strategy, staffing, budgets, talent development, and cross-functional initiatives supporting investor protection and market integrity.

Conducts complex securities surveillance reviews to identify potential violations of federal, FINRA, MSRB, and exchange rules. Develops and enhances surveillance analytics and processes, researches regulatory updates, documents findings, supports referrals, and communicates with firms and investors. Mentors colleagues, leads special projects, represents FINRA in meetings, and works independently on increasingly complex assignments while supporting investor protection and market integrity.

Designs, maintains, and delivers training for Dispute Resolution Services staff across regional offices and job levels. Develops onboarding, procedural, policy, refresher, and just-in-time training in partnership with Quality Control, senior management, and People Solutions. Identifies skill gaps and operational risks, supports real-time assignments, and translates complex regulatory and dispute-resolution material into accessible instruction. Requires strong analytical, research, communication, relationship-building, and independent problem-solving skills.

Conducts complex regulatory analyses of FINRA firms’ public communications, coordinates examinations with internal departments and regulators, documents findings, and supports disciplinary actions. Reviews analytical sign-offs for accuracy and rule application, trains and coaches staff, monitors workflow, contributes to policy and rule development, represents the department at conferences, and handles special projects. Requires expertise in securities, broker-dealer services, advertising regulations, and FINRA, SEC, MSRB, and SIPC rules.

Reviews retail and institutional communications, sales materials, prospectuses, websites, and investment product filings for compliance with FINRA, SEC, MSRB, and SIPC advertising regulations. Provides written compliance comments and required revisions, responds to inquiries, assists investigations, tracks regulatory changes, supports outreach initiatives, and performs special projects. Requires strong analytical, written, and oral communication skills, finance and securities knowledge, and familiarity with broker-dealer marketing practices.

Coordinates all phases of mediation cases, including party solicitation, mediator selection, scheduling, documentation, correspondence, financial review, case tracking, and disposition. Provides customer service, resolves complex inquiries, supports special projects, and trains or guides staff and mediators. Maintains accurate case records and collaborates with internal and external stakeholders in hybrid work environments.

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.

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

Lead and perform complex reviews of FINRA firms' public communications, coordinate joint evaluations with regulators, document findings, support examinations and disciplinary processes, mentor staff, and assist management with quality control, training, and policy input.