Jobs at FINRA

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

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 Senior Analyst conducts market surveillance to identify violations, assists projects for analytics, drafts updates, and presents findings to management.

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 conducts surveillance reviews, analyzes trading activity for violations, updates internal guidelines, develops analytics, and prepares reports. They also provide training and work on special projects.

The Senior Analyst conducts surveillance reviews to identify market activity violations, analyzes trading activity, and develops analytics tools to combat fraud.

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