Top Tech Jobs & Startup Jobs in Los Angeles, CA

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.

Analyze trading activity to detect potential securities law and SRO rule violations, research regulatory developments, contribute to surveillance analytics and detection methods, prepare detailed reports and referrals, coach colleagues, and support cross-team projects and special initiatives.

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

Conducts moderate-to-high complexity market surveillance to identify potential securities rule violations, develops and tests analytics and surveillance tools, documents reviews and referrals, prepares detailed reports, coaches colleagues, and supports special projects to advance regulatory surveillance goals and industry compliance.

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.

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