FINRA

Backend Engineer

• Works independently and develops robust, scalable software solutions across the full stack from cloud infrastructure to backend API integrations to agentic workflows and MCP servers.
• Architects and implements a cutting-edge generative AI regulatory chat assistant.
• Improves overall product quality throughout the software development lifecycle.
• Guides team members in best practices and technical leadership.
• Helps identify and mitigate architectural risks.
• Leads implementation of comprehensive test strategies and champions test-driven development (TDD) practices.
• Assists with implementing and maintaining CI/CD pipelines.
• Mentors and guides less experienced team members in techniques, processes, and best practices.

Lead GenAI Backend Platform Software Engineer

Manager

• Administer the LMS platform and execute the strategic direction of a centralized content catalog
• Develop and execute a strategy to optimize the experience of different types of LMS platform users
• Catalog and tag FINRA’s e-Learning courses and external training content
• Manage the process of taking course content from the Content Development team and preparing the course content for administration to learners
• Collaborate with various stakeholders to facilitate onboarding of LMS clients and content providers
• Manage the course publication calendar and negotiate project schedules with e-Learning developers and content managers
• Facilitate technology integration and implementation of LMS platform updates
• Produce, analyze, and distribute LMS performance reports
• Organize and lead routine audits on learning content within the LMS

LMS Manager, Continuing Education Marketplace

• Develop MCP servers, tools, skills, agents, and other software that enhances LLM capabilities
• Build scalable cloud-native components using AWS services
• Review and analyze complex process, system, and data requirements
• Develop and execute comprehensive test strategies
• Implement test-driven development (TDD) practices
• Contribute to implementing and maintaining CI/CD pipelines
• Interface with team members in peer review of requirements, specifications, and software
• Communicate technical concepts clearly to both technical and non-technical stakeholders
• Implement secure coding practices for handling sensitive data
• Stay informed of advances in LLM frameworks and technologies

Senior GenAI Backend Platform Developer

Content Manager

• Manage Industry Exam Programs: Oversee the complete lifecycle of qualification exam question banks
• Lead Expert Committees: Facilitate content committee meetings with securities industry professionals
• Ensure Exam Quality: Apply psychometric principles and item statistics to evaluate test question performance
• Develop High-Quality Content: Edit and refine test items to meet rigorous FINRA/client style standards
• Maintain Content Outlines: Update and publish exam content outlines based on ongoing analysis
• Monitor Industry Evolution: Research and evaluate the impact of FINRA, SEC, and other regulatory rule changes
• Enhance Systems & Technology: Participate in developing system requirements and conducting user acceptance testing
• Serve as Exam Resource: Respond to exam-related inquiries from FINRA staff, member firms, candidates, and external stakeholders
• Contribute to Strategic Initiatives: Support special projects and department-wide initiatives

Associate Principal Content Manager, Qualifications & Exams

Vice President

• Provide leadership of OGC Litigation office.
• Lead significant litigation matters and represent FINRA directly in complex judicial proceedings.
• Provide strategic pre-litigation counseling to FINRA management.
• Oversee and manage outside counsel on major litigation matters, ensuring cost-effectiveness and strategic alignment.
• Review and approve legal pleadings filed on behalf of FINRA in external litigation matters prepared by staff attorneys or outside counsel.
• Oversee responses to subpoenas and information requests from external parties.
• Monitor outside counsel expenditures and provide recommendations to optimize litigation budget and resource allocation.
• Prepare litigation reports for FINRA’s Board of Governors.
• Report claims and litigation developments to internal and external parties as needed.
• Lead settlement negotiations for matters with significant financial or reputational implications.
• Monitor the external legal environment to identify trends, regulatory developments, and emerging litigation risks that may impact the organization.

Vice President, Litigation

Strategy

• Manage a portfolio of large-scale departmental operational projects
• Track and report progress to the Chief of Staff
• Identify opportunities for streamlining operations
• Provide strategic and operational leadership
• Oversee EFS budget and expense management functions
• Facilitate regular department meetings and events
• Ensure compliance with policies and procedures
• Coordinate training initiatives for staff

Director, EFS Strategic Initiatives

Software Engineer

• Develop, test, debug and document software components
• Direct development staff in support of a software engineering effort
• Review and analyze complex process, system and/or data requirements
• Serve as the technical subject matter expert for one or more areas (subsystems)
• Build, test, deploy, and document complex software components
• Create software engineering strategies to identify and mitigate risks
• Lead team members in peer review of code
• Document and communicate development status in a timely manner
• Mentor and supervise junior staff in project-level tasks
• Ensure adherence to technology policies and comply with security controls

Lead Developer, Technology

General Counsel

• Determine and execute an effective risk-based legal strategy to assess the record fairly
• Collaborate with investigative staff to plan investigations and fully develop the record
• Research and identify the legal requirements for charges
• Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case
• Play a leading role in advancing settlement discussions with respondents
• Play a leading role in conducting litigation preparation and contributing substantively to litigation
• Draft clear and organized analysis, and effective advocacy documents
• Plan for and conduct effective on-the-record testimony of witnesses
• Draft precise and transparent settlement documents
• Leverage data analytics and technology to advance investigations
• Collaborate effectively with other Enforcement attorneys
• Prioritize matters based on risk
• Collaborate effectively with managers and incorporate feedback into planning and execution

Principal Counsel – Enforcement

• Leads a product team responsible for specific products
• Manages research and product development efforts
• Implements product strategy and manages stakeholders
• Develops talent and builds networks within FINRA and externally
• Coaches team to demonstrate values and best practices
• Defines user needs and develops product vision and roadmap
• Facilitates product planning and prioritization processes
• Leads product launches and tracks metrics
• Works with internal and external teams to resolve issues
• Provides coaching and guidance to junior team members
• Collaborates on best practices and continuous improvement initiatives

Associate Director, Product Management

Full-stack Engineer

• Own development of software products and works on improving quality of the product
• Manage processes, projects or products to improve efficiency
• Design and develop industry-leading solutions that meet quality standards and help achieve objectives
• Ensure comparison of tasks and quality of work, supporting peers to ensure team delivers consistently
• Coach and train less experienced colleagues
• Partner within and across teams to remove barriers and identify shared goals

Lead Software Engineer

Analyst

• Conduct routine surveillance reviews of moderate to high complexity
• Analyze trading activity for indications of potential violations
• Research and provide internal updates regarding rules, regulations, guidelines, intelligences, and advisories
• Complete assigned tasks for testing and developing new analytics
• Maintain and enhance surveillance methods
• Develop improved approaches for uncovering violations
• Prepare detailed and accurate reports
• Document review steps and results
• Coach and train colleagues in techniques and responsibilities

Associate Principal Analyst – Insider Trading Detection, Equity

• Conducts rigorous financial and operational analysis to support decision-making at executive leadership levels
• Manages the collection and validation of enterprise metrics
• Owns the end-to-end creation of materials for specific agenda items for Board and Management Committee meetings
• Leads 'rapid response' analysis and specific project workstreams
• Builds and maintains strong working relationships with functional data owners and program managers
• Monitors industry trends synthesizing information into ad-hoc briefs or quarterly updates
• Identifies friction points in the planning process and train staff on strategic planning capabilities

Lead Analyst, Enterprise Strategy

Director

• Owns and directs the annual enterprise-level strategic planning and goal-setting timeline and process, ensuring functional strategies align with the broader goals of the organization.
• Serves as the operational lead for the Strategy PMO function; establishes guardrails and change control processes to ensure the integrity of enterprise goals, measurement, and reporting for the MC and Board.
• Leads the preparation of narrative-driven reviews, materials, and presentations for Board meetings and strategy sessions; ensures accuracy and strategic alignment in deliverables for the VP and CFAO.
• Collaborates with Finance and functional leaders to ensure resource allocation and program elements are seamlessly linked to the organization’s strategic priorities.
• Manages enterprise-wide multi-faceted corporate initiatives with organizational significance; establishes rigorous success metrics; and works cross-functionally to proactively identify risks, dependencies, and mitigation strategies that could impact strategic outcomes.
• Assesses the effectiveness of metrics within business functions to determine if they are driving the appropriate outcomes and informs decisions on necessary adjustments.
• Maintains expert level knowledge of industry developments in strategic planning and performance management, ensuring the team leverages best-in-class tools and methodologies.
• Manage and support team in their day-to-day responsibilities to execute the goals and priorities of the program. Mentor and coach team members, providing timely and effective feedback, identifying skill gaps, and implementing training opportunities where needed.
• May lead cross-organizational working groups to address specific strategic questions or corporate initiatives as assigned.

Director, Enterprise Strategy

Risk

• Conduct comprehensive risk monitoring of member firms
• Collaborate across departments to analyze regulatory trends and develop actionable recommendations
• Guide entry-level staff through coaching and mentorship
• Work collaboratively with specialists and cross-functional teams to implement risk-based monitoring strategies
• Tackle unstructured, complex assignments requiring independent judgment and creativity
• Demonstrate commitment to collaboration, integrity, and excellence.

Associate Principal Analyst, Risk Monitoring

Security Engineer

• Perform OS and network-level troubleshooting and testing on all security tools
• Support security analysis and Incident Response activities in collaboration with CIS staff
• Migrate and decommission legacy security platforms while ensuring business continuity
• Maintain security tools across Development, QC, and Production environments
• Collaborate with cross-functional teams to enhance FINRA's security posture
• Apply processes and techniques to identify, validate, prioritize, and track security risks
• Monitor established security controls
• Identify control deficiencies and make recommendations
• Define, review, and promote information security policies, standards, guidelines, and procedures
• Mentor and supervise junior staff in project-level tasks and contribute to internal process improvement initiatives