Conduct routine surveillance reviews to identify unusual market activity and potential violations, prepare reports, and maintain compliance with regulations.

The Associate Principal Analyst conducts surveillance reviews to identify unusual market activities, develops analytics tools, prepares reports, and may coach colleagues.

The Senior Director will lead graph analytics solutions, improve detection and investigation processes, and enhance decision-making for regulatory operations.

Manage 4-6 Examination Managers, oversee regulatory compliance, communicate policies, develop talent, and ensure effective examination strategies for FINRA's oversight operations.

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

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

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