FINRA

Director

• Manage the RegOps strategy team to provide direction, leadership, transparency, and support delivery across goals
• Drive forward-looking strategy formation and strategic planning excellence across Regulatory Operations
• Develop consolidated roadmap of priorities across Regulatory Operations
• Work closely with Senior Leadership Team to establish annual strategic goals
• Lead a cultural shift from reactionary execution to strategic and visionary planning of key initiatives
• Engage and act as liaison with Program Delivery to identify and implement appropriate project management approaches

Senior Director, Strategy

• Lead the Program Delivery team to deliver transformative Regulatory Operations initiatives
• Direct and manage multiple senior-level program managers and individual contributors
• Facilitate and lead cross-functional program/project forums
• Provide strategic direction and ensure alignment with RegOps strategic priorities
• Execute day-to-day responsibilities including drafting materials and status reporting
• Anticipate and articulate cross-program/project risk(s), issues, and dependencies
• Collaborate with business users, technical team, and other FINRA functions
• Support complex assignments concurrently that require autonomy and judgment
• Create and present materials that communicate current state processes and challenges
• Propose and create senior management reporting and analytics

Senior Director, Program Delivery

General Counsel

• Directing and managing the complete life cycle of the adoption of new regulatory requirements.
• Providing expert knowledge to the Board of Governors and senior management on high-impact regulatory initiatives and rule changes.
• Acting as the primary coordinator of the policy and rulemaking functions within the Capital Markets Group of OGC.
• Overseeing the preparation of board and committee materials and regulatory notices.
• Conducting economic impact assessments of rulemakings in the capital markets area.
• Managing public communication of FINRA proposals and legal interpretations to member firms and the media.

Associate General Counsel, Capital Markets

Compliance

• Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations
• Assists with mentoring staff by monitoring work quality, quantity and timeliness
• Conducts complex reviews and spot-checks as needed
• Reviews highly complex communications with the public including retail and institutional sales material submitted by firms
• Provides written comments on compliance of materials with applicable rules
• Responds to letters and telephone inquiries regarding filing reviews and comments
• Helps mentor staff members and provides ongoing training
• Assures quality and timeliness of staff member’s work
• Provides timely input on performance appraisals
• Answers questions from staff and external customers like firms and regulatory agencies
• Keeps up-to-date on changes in advertising rules and new investment products
• Assists in analysis of communications received as complaints or inquiries

Associate Principal Analyst, Advertising Regulation

Social Media Manager

• Set FINRA's social media strategy in alignment with organizational goals and priorities
• Execute social media strategy with minimal oversight from the Vice President, External Communications
• Build and maintain an editorial calendar
• Translate message strategy and financial content into high-quality social media content
• Independently create engaging social media plans across multiple platforms
• Monitor social media engagement and manage FINRA's response
• Understand and apply best practices to maximize effectiveness of channel performance
• Coordinate with data analytics team to deliver regular reporting
• Stay up to date on industry best practices and emerging trends

Chief of Staff

• Serve as a key OCLO authority and liaison on projects and initiatives related to OCLO goals and objectives
• Lead and participate in cross-functional working groups on behalf of OCLO
• Coordinate and manage OCLO organizational programs
• Develop and implement OCLO’s organizational strategy
• Establish processes, standards and key metrics for OCLO
• Identify opportunities for further streamlining and improving operations
• Create and maintain reports, project plans and metrics
• Oversee the development and implementation of OCLO's strategic technology plan
• Act on behalf of OCLO executive and senior leadership
• Develop and maintain effective relationships with senior leaders throughout the organization
• Adapt quickly to changing circumstances and respond to crises
• Support OCLO compensation planning, staffing processes, and other organization-wide People Solutions initiatives

Vice President, Deputy Chief of Staff – Chief Legal Officer

Financial Crime

• Conducting routine surveillance reviews of moderate to high complexity to identify unusual market activity
• Analyzing trading activity for indications of potential violations
• Researching and providing internal updates regarding rules, regulations, guidelines, intelligences, and advisories
• Completing assigned tasks for testing and developing new analytics, surveillance tools or processes that detect and deter fraudulent activity
• Preparing well-organized, detailed, and accurate reports
• Completing documentation of review steps and results
• Demonstrating subject matter expertise and coaching/train colleagues in techniques, processes, and responsibilities
• Working on routine projects with the assistance of management
• Participating in initiatives across Surveillance

Associate Principal Analyst, Fraud Detection

• Conduct routine surveillance reviews to identify unusual market activity
• Assist with analyzing trading activity for indications of potential violations
• Draft summaries of internal updates regarding rules, regulations, guidelines, intelligence, and advisories
• Assist with projects for testing and developing new analytics, surveillance tools, or processes
• Present investigative findings to management in an organized, concise, and timely fashion
• Follow the process for the documentation of review steps and results

Senior Analyst, Fraud Detection

Software Engineer

• Lead the design, development, and implementation of Workday Financial modules including General Ledger, Accounts Payable, Accounts Receivable, Asset Management, Cash Management, and Payroll
• Architect and implement custom solutions using Workday Studio, EIBs, Core Connectors, and Cloud Connect integrations
• Develop and maintain integration solutions between Workday Financials and other enterprise systems
• Create and optimize custom reports using Workday Report Writer and Calculated Fields
• Document and communicate development status in a timely manner including metric reporting
• Mentor and supervise junior staff in project-level tasks
• Participate in external process improvement committees as a Development representative

Lead Workday Developer

Analyst

• Monitor and analyze cyber threat intelligence from multiple sources
• Produce timely cyber event risk assessments and disseminate actionable insights to member firms
• Monitor vendor risk reports to identify concentration risks and vulnerabilities
• Independently lead examinations and risk reviews of high complexity
• Respond to complex inquiries from Regulatory Operations teams
• Share expertise through conference panels, training seminars, boot camps, and compliance events
• Develop staff training materials and specialized content

Senior Cyber Threat Intel Analyst

Research Analyst

• Conducts research and data analysis to develop insights and inform the public's understanding of financial capability and financial fraud prevention, using different statistical techniques and data from various sources.
• Produces research-based communications and publications, including reports, issue briefs, journal articles, visualizations, infographics, and presentations suitable for internal and external audiences.
• Manages research project coordination and stakeholder communication, ensuring timely completion and keeping internal and external partners informed of progress across multiple projects.
• Supports research dissemination and communications, partnering with corporate communications to promote research through briefs, via social media assets, website updates, press releases, and media outreach.
• Provides support to organizational leadership and internal stakeholders, including preparation of Foundation board materials and board metrics, as well as research and analysis support to other FINRA departments.
• Ensures research quality and integrity through quality control of analyses and statistics, including reviewing and validating statistical code and methodology.
• Supports research administration and governance, including the initiation and execution of legal agreements for research projects and participation in the FINRA Foundation's grantmaking activities.
• Demonstrates FINRA’s values.
• Collaborates with internal and external partners, both in-person and virtually, to advance FINRA's mission and the FINRA Foundation's mission.

Associate Principal Research Analyst

Procurement

• Serve as the primary liaison between legal, procurement, senior management, and key stakeholders throughout the contract preparation and negotiation process
• Drive contract lifecycle management from sourcing and execution through monitoring, renewal, and closeout
• Collaborate cross-functionally with business subject matter experts and vendors to gather and analyze data, providing timely contract updates and status information to stakeholders
• Ensure financial accuracy by verifying that invoices align with contract terms and partnering with Finance for timely payment processing
• Monitor vendor performance through periodic review meetings, continuously improving vendor effectiveness and ensuring service delivery issues, challenges, or risks are proactively mitigated
• Support strategic planning by assisting leadership with exit strategies for contracts that terminate prematurely or expire naturally
• Escalate complex matters to leadership when needed, while following established procedures for contracting, invoicing, and vendor management
• Champion FINRA's values and collaborate both in-person and virtually in furtherance of our mission

Vendor & Contract Management Principal Analyst

• Directly manage and influence technology teams to deliver high-quality results across key disciplines
• Build and lead a high-performing engineering team capable of delivering complex software initiatives
• Establish accountability structures and clear delivery commitments aligned to OKRs
• Drive agile development practices focused on iterative delivery of measurable value
• Optimize delivery velocity and predictability while managing risks
• Direct engineering budget activities including cloud costs and resource allocation
• Provide transparent reporting on initiative status, delivery metrics, and risks

Director of Technology – Engineering

• Conducts routine and complex assessments and analysis of FINRA firms’ Corporate Financing filings and related investigative matters
• Analyzes filings for violations of rules, regulations, statutes, and policies
• Drafts well-written correspondence and analysis
• Delivers high-quality work product that reflects and leverages acquired knowledge, training, feedback, and guidance with limited corrections
• Monitors workflow and task completion
• Responds to internal and external requests and inquiries regarding filings reviews
• Escalates complex and/or sensitive matters and developments related to member, issuer or registered person filings to second reviewers and/or managers
• Participates in and contributes to internal and external meetings related to assigned work
• Keeps current with relevant and applicable rules, regulations, statutes, and policies governing filings
• Demonstrates the culture of intelligence, integrity, and initiative in day-to-day interactions with the team
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity

Senior Analyst, Corporate Financing

System Administrator

• Direct staff in the execution of enterprise Apple device management, security, and deployment activities
• Ensure FINRA's Mac ecosystem meets defined quality standards
• Focus on JAMF Pro administration, application packaging, and maintaining security compliance
• Review and analyze complex macOS system specifications, JAMF policies, and MDM configurations
• Leverage AI tools to accelerate analysis, identify patterns, and generate insights
• Serve as the subject matter expert for Apple ecosystem management
• Design, implement, customize, maintain, and administer complex macOS environments
• Recommend and lead implementation of macOS updates, security patches, and hardware refresh cycles
• Develop and maintain application packaging workflows for macOS software distribution
• Lead security vulnerability remediation efforts for macOS devices
• Implement and manage Single Sign-On (SSO) integration for macOS devices
• Configure and maintain conditional access policies and device compliance requirements
• Evaluate Apple ecosystem trends, JAMF updates, and emerging Mac management technologies
• Document and communicate test results for JAMF deployments and security remediation activities
• Mentor junior staff on Apple device management best practices
• Participate in internal process improvement committees and Apple/JAMF user groups