FINRA

Director

• Lead a team of data scientists, AI engineers, and ML engineers specialized in GenAI solution assessment
• Provide thought leadership and direction on methodology and process
• Coach data scientists in the evolving role of GenAI evaluation and quality assurance
• Partner with teams across Technology to provide expert technical guidance and hands-on implementation resource support
• Educate teams on the differences between traditional software engineering practices and GenAI implementation
• Manage the GenAI model peer review process
• Direct the development and implementation of frameworks for quantifying and communicating GenAI solution value
• Support the evaluation and operationalization of AI/GenAI engineering capabilities

Director of Technology – GenAI Implementation and Support

General Counsel

• Authorize formal disciplinary complaints to be filed by the Department of Enforcement pursuant to the Codes of Procedure of FINRA and SRO clients under the terms of Regulatory Services Agreements
• Accept pre- and post-complaint settlements of formal disciplinary actions and Minor Rule Violation letters by delegated authority from FINRA’s National Adjudicatory Council and designated SRO clients
• Perform independent, objective, and rigorous review of cases submitted to ODA to ensure legal sufficiency of charges and fairness and consistency in FINRA actions and those of SRO clients
• Demonstrate proficiency and independence at performing the functions of ODA, including the critical review of advanced levels of proposed disciplinary actions
• Exhibit and maintain an expertise in one or more particular legal and regulatory subject matters
• Offer and provide training and guidance regarding legal, policy and procedural issues to staff in other departments and to colleagues in ODA, both formally and on an ongoing basis in routine and frequent interactions with individual staff members
• Coordinate and collaborate with ODA attorney colleagues on a continuous basis to ensure an efficient and consistent approach to reviewing cases
• Enter information into FINRA database to document review and approval of disciplinary actions and to provide data for internal legal and statistical research and to be used for external reporting
• Initiate and participate in special projects as assigned, both internal to ODA and in collaboration with other departments
• Remain flexible in responding to a variable workflow and responsive to requests for expedited review, often on short notice
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Assistant General Counsel – Office of Disciplinary Affairs

Paralegal

• Provides paralegal support to Ethics Office attorneys and senior management
• Drafts correspondence, summaries of advisory consultations, and responds to non-complex policy inquiries
• Prepares analysis of points of law (e.g., FINRA's Revolving Door Rules and OGE regulations)
• Provides editorial reviews for policy and training materials
• Prepares metrics for the review, approval, and use by attorneys
• Proofreads, edits, formats and finalizes legal documents through to execution
• Tracks performance and drafts summary outcomes of programs monitored by Ethics attorneys
• Assists with Advisory and investigations case management and EthicsPoint administration activities
• Assists in drafting and maintaining written procedures

Senior Paralegal, Ethics

• Provides strategic, operational, and technical leadership of an enterprise-wide knowledge management system (KMS)
• Develops content for the enhancement and maintenance of the enterprise-wide KMS
• Directs all aspects of project management involving planning, developing, organizing, and coordinating KMS content
• Develops plans for a continuously maintained portal with a practice-focused user experience
• Leads, delivers, and assists with training and demonstrations of the KMS
• Works closely with internal stakeholders to develop and catalog information
• Applies advanced proficiency in conducting research into matters of regulatory policy
• Regularly reviews and updates content to ensure user needs are met
• Maintains the KMS and sources data from relevant teams
• Guides the preparation and review of content that may require sophisticated analyses
• Maintains and expands the taxonomy to facilitate topical access to the KMS
• Manages technical maintenance of the KMS
• Monitors traffic in the KMS and reports systems usage

Associate Director, Knowledge Management

Attorney

• Identify opportunities to leverage technology to achieve OCLO strategic objectives
• Partner with business and technology sponsors to build successful business cases
• Oversee and manage OCLO technology products
• Define and facilitate program governance structure
• Represent and collaborate with business units across the full project lifecycle
• Drive the adoption of advanced reporting and analytics tools
• Lead vendor engagement efforts
• Oversee ongoing service delivery for compliance with legal agreements

Lead Product Manager, Legal Technology

Operations

• Lead or co-lead a variety of cross-functional and corporate-wide initiatives and special projects within OCLO
• Establish project scope and timeline, define measures of success, and manage the team(s) through successful completion of the initiative(s)
• Support organizational excellence through analysis of operational efficiency and effectiveness
• Collaborate with OCLO business leaders to engage and synthesize feedback and direct work related to the initiatives
• Establish qualitative and quantitative measurements to inform continuous improvement effort
• Support annual strategic planning process and quarterly learning reviews to assess attainment of business outcomes and key results
• Develop and maintain effective working relationships with leaders and staff throughout OCLO
• Plan and lead change management efforts to ensure successful adoption of new initiatives
• Manage budget planning and financial management processes in partnership with Finance and budget owners
• Track performance against financial targets and facilitate reporting within OCLO
• Facilitate development of reporting and metrics to provide insight into department strategic and operational performance

Associate Director – OCLO Operations

Program Manager

• Manages EDPO program management activities including new initiatives, projects, strategic objectives, and ongoing program execution.
• Manages the creation and implementation of the enterprise-wide privacy training and awareness program for all employees and contractors.
• Supports ongoing implementation and advancement of the Privacy Risk Management Framework across the organization.
• Manages vendor relationships and contract management to ensure effective program delivery and budget compliance.
• Assists in preparation of quarterly and bi-weekly reporting to senior management and the FINRA Board.
• Collaborates with stakeholders to ensure consistent application of privacy policies and practices.

Program Manager, Enterprise Data Privacy

Analyst

• Conduct comprehensive surveillance reviews of possible violations of rules and federal securities laws with minimal supervision
• Proactively identify notable and emerging trends, threats, and/or issues applicable to Surveillance or other core functions
• Conduct advanced processes for testing and developing new surveillance tools or processes that detect and deter violative activity
• Communicate both verbally and in writing with firms, registered and associated persons, investors, and others
• Implement a process for the team’s documentation of review steps and results
• Demonstrate subject matter expertise and an ability to coach and train colleagues
• Ensure that all regulatory requests are fulfilled in a timely and accurate manner
• Participate actively in and play a leading role in special projects

Senior Principal Analyst, Capital Raising, Fraud

• Leads execution and oversight of the BLT training program portfolio
• Provides strategic guidance on development methodologies, delivery approaches, and curriculum design
• Directs and oversees the BLT Program Management team, ISDs, OJAs, LXDs, and CSC team
• Manages risks associated with Regulatory Service Agreements (RSA) training obligations
• Oversees identification of department-specific learning needs and designs training solutions
• Collaborates with internal and external stakeholders to strategize solutions
• Directs monitoring, tracking, and reporting to the People Solutions Leadership Team on training programs

Senior Director, Business Learning and Training Development

Security Operations

• Implement, deploy, and maintain enterprise endpoint security platforms
• Support security analysis and incident response activities
• Collaborate with cross-functional teams to enhance security posture
• Mentor junior staff in project-level tasks
• Identify and recommend new security technologies and tools
• Maintain security tools across environments

Senior Security Operations Center Engineer

• Supports case administration and the National Arbitration program for FINRA Dispute Resolution Services (DRS)
• Develops and implements policies regarding FINRA’s arbitration program
• Works with Senior Management to ensure uniform, consistent, high quality dispute resolution services
• Advises regional offices on various case administration problems
• Develops and conducts staff training on new rules, processes, and procedures
• Updates content of FINRA publications relating to the arbitration process
• Serves as subject matter expert concerning expungement, jurisdiction, investment advisers, among other matters
• Tracks payment of arbitration awards by firms and registered persons
• Manages arbitration claim intake process
• Tracks and responds to complaints about arbitration processes
• Prepares reports, correspondence, and memoranda for FINRA senior management and the SEC
• Participates in conferences and meetings to educate key constituent groups about FINRA’s dispute resolution forum

Principal Analyst, Dispute Resolution

Administration

• Provides case administration of both arbitration converted cases and cases in which the parties agree to mediate first.
• Determine mediating parties, assess fees, and negotiate conditions to mediate.
• Independently answer questions about the mediation process and make decisions about eligibility of requests.
• Conduct regular solicitation of the parties in active arbitration cases through a variety of outreach methods to introduce the mediation alternative.
• Use reports to recognize filing trends and identify multiple party cases.
• Monthly, determine cases nearing arbitration final hearing dates to encourage mediation.
• Market special mediation programs such as Mediation Settlement Month.
• Communicate with frequent users of our forum to encourage mediation on a regular basis.
• Report monthly statistical information on mediation activity in the regions using a shared Department database.
• Maintain this information in a shared Department database and send monthly updates to DRS Infrastructure for purposes of reporting statistics on our external website.
• Provide excellent customer service, and responds to customer complaints orally and in writing.
• Attend mediation hearings to assist mediators and parties.
• Independently respond to inquiries from DRS management, attorneys, DRS staff, neutrals, and parties regarding issues surrounding the mediation process, complaints, or procedural problems.
• Prepare reports on mediation and special programs for DRS management, NAMC, and DRS Board.
• Evaluate mediators and, if needed, make recommendations to remove mediators from roster.
• Serve as Department liaison with the Finance, Corporate Communication, DR Technology, Case Administration, and Neutral Management departments to coordinate services as needed.
• Assist in ensuring uniform and consistent administrative policies and excellent customer services by analyzing customer service surveys, and reviewing administrative management reports.
• Initiate disciplinary referrals.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Mediation Administrator, Dispute Resolution Services

• Apply expert analytical skills to provide interpretations regarding rules and regulations
• Manage a docket of mediation cases
• Determine mediating parties, assess fees, and negotiate conditions to mediate
• Conduct regular solicitation of the parties in active arbitration cases
• Use reports to recognize filing trends and identify multiple party cases
• Communicate with frequent users of our forum to encourage mediation
• Report monthly statistical information on mediation activity
• Serve as Department liaison with various departments to coordinate services
• Evaluate mediators and, if needed, make recommendations to remove mediators from roster

Senior Mediation Administrator, Dispute Resolution Services

• Manages assigned docket of cases, with responsibility to ensure that all case activities proceed timely and accurately
• Utilizes the ODR Portal and internal docket management programs
• Analyzes assigned cases for accuracy and completeness, and anticipates and resolves issues that may arise during the course of the case
• Acts as liaison between parties and arbitrators to facilitate resolution of pre-hearing motions and requests
• Ensures that motions for the panel are addressed in a timely manner and monitors case-related reports to ensure compliance with deadlines and expectations
• Analyzes, summarizes and makes recommendations on administrative motions for decision by the Director, with limited assistance
• Advises panel as to procedural matters and provides guidance on FINRA's arbitration rules and procedures, with limited assistance
• Answers parties’ pre and post award inquiries orally and in writing
• Provides excellent customer service, and responds to customer complaints orally and in writing
• Attends hearings when necessary to observe arbitrators and fairness of the proceedings
• Drafts and serves awards in a timely manner, disposing of all issues submitted for resolution with limited assistance
• Closes cases by award in a timely manner and ensures that they are closed with financial accuracy
• Evaluates arbitrator performance
• Monitors post-award litigation
• Initiates disciplinary referrals
• Demonstration of FINRA’s values
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity