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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.