Teams at FINRA

Coordinates arbitration and mediation case administration, including arbitrator appointments, panel composition, hearings, conferences, postponements, case records, correspondence, exhibits, recordings, payments, and expense reports. Provides support to parties and arbitrators, maintains case systems and files, processes documentation, trains staff, and serves as a subject matter expert while working independently in a hybrid environment.

Leads and advises on complex, novel, and high-risk membership applications; identifies regulatory and industry risks; develops regulatory strategies; guides analysts; engages member firms; supports training and quality reviews; and mentors staff. The role requires strong securities-industry knowledge, risk analysis, communication, research, quantitative, presentation, and leadership skills, along with at least five years of securities, compliance, or financial regulatory experience.

Conducts risk monitoring and ongoing assessments of FINRA member firms, including complex and elevated-risk firms. Analyzes regulatory intelligence, financial and external data, business models, and industry risks; develops recommendations and regulatory responses; collaborates with internal and external stakeholders; leads special projects and technology initiatives; and mentors junior staff. Requires strong knowledge of securities regulations, FINRA risk fundamentals, financial analysis, U.S. GAAP, and relevant industry risks.