FINRA

Administration

• Working as a virtual member and operational point of contact for advisors’ offices and providing task ownership, support, and coordination with other Commonwealth departments
• Collaborating with various internal operational teams across the firm to research and resolve complex issues
• Managing client data in Commonwealth’s CRM platform to create and distribute reports, prepare for client meetings and calls, and create procedure workflows
• Submitting money movement requests and working with partner departments to resolve issues
• Monitoring alerts and advisor action items and proactively collaborating on responses to time-sensitive requests
• Building relationships by consistently providing the highest level of customer service
• Collaborating with Sponsor Companies to research and obtain required documents
• Use our account opening platform to open and update accounts, prepare documents, and send DocuSign documents to clients

Administration Specialist

Events

• Oversee corporate meetings and event technology
• Manage the FINRA Strategic Meeting Management Program (SMMP)
• Supervise and lead the meeting planning team
• Ensure efficient operations and high-quality event delivery
• Assign and distribute meetings, events, and project responsibilities
• Project Manager handling complex meetings, events, and conferences from conception to completion
• Accountable for developing and managing multi-faceted budgets for revenue generating meetings
• Independently negotiate numerous vendor contracts
• Oversee the entire exhibitor management process for revenue-producing conferences
• Adapt and scale program objectives to meeting and venue requirements
• Execute marketing materials to support meetings
• Collaborate with internal key stakeholders, invited guests, and management committee during events

Associate Director, Meeting Planning and Event Technology

Director

• Oversee membership application process relating to matters filed with FINRA
• Create and facilitate best practices for program execution aligned to regulatory requirements
• Provide timely operational status updates and application-level reporting to senior leadership
• Monitor established metrics and analytics to enable effective risk-based decision-making
• Establish and implement standards for guiding staff and member firms in MAP processes
• Monitor legal and regulatory requirements applicable to the program
• Partner with key stakeholders to develop training and resources
• Lead communications with FINRA personnel and member firms
• Manage a team of experienced individual contributors
• Participate in the development and execution of the Department’s compliance programs
• Serve as a presenter or panelist for member conferences and training

Director – MAP, Equity, Retail, Capital Formation

• Oversees membership application process relating to matters filed with FINRA
• Provides operational leadership for management of the program
• Supervises analysts, defines roles, increases staff skills
• Collaborates on interdepartmental regulatory initiatives
• Manages application staff in execution of risk-based program
• Provides timely operational status updates and application-level reporting
• Monitors established metrics for effective decision-making
• Establishes standards for consistent methodologies in MAP processes
• Monitors legal and regulatory requirements, providing guidance on risks
• Proactively identifies skill gaps and development opportunities

Director, Trading, Custody, Markets

Communications

• Produce and distribute internal materials using AI-assisted workflows, templates, and repeatable processes.
• Support recurring communications and Technology communications products, including newsletters, program launch announcements, marketing materials.
• Maintain and enhance internal digital platforms and channels, including SharePoint, to keep content accurate, accessible, organized, and aligned to a strong employee experience.
• Produce reporting, identify trends, and share insights that strengthen content quality, employee engagement, and the overall employee experience.
• Manage intake, track requests, and coordinate workflows using established prioritization methods.
• Support employee engagement program, high-visibility campaigns and major Technology initiatives by coordinating materials, logistics, storytelling, and cross-team collaboration.
• Use AI tools and digital solutions to improve efficiency, automate routine tasks, and support scalable operations.
• Develop content that supports Technology programs, innovation efforts, and strategic initiatives across internal channels, including spotlights and program communications that recognize staff, highlight team achievements, and elevate awareness of work across the organization.
• Partner with the AI Hub and other internal stakeholders to extend the reach of important tools, updates, opportunities, and emerging initiatives through coordinated, multi-channel communication.
• Demonstrate FINRA’s values in all work and interactions.

Technology Communications Analyst

Full-stack Engineer

• Assists in developing software products
• Works on improving overall product quality throughout the software development life cycle
• Designs and develops industry-leading solutions
• Works independently on broad problems requiring decision making and creativity
• Defines technical solutions or operational processes to improve efficiency
• Identifies and resolves technical risks
• Represents the team’s goals on time and with a high standard of quality
• Builds productive working relationships with senior internal/external partners
• Implements ways to simplify code and infrastructure

Senior Software Engineer

Operations

• Serve as a strategic partner and thought leader to the EVP.
• Exercise sound judgment and independent decision-making authority.
• Lead strategic analysis and problem-solving on complex, precedent-setting matters.
• Provide actionable recommendations and strategic options that enable executive decision-making.
• Drive innovation in Enforcement operations; identify and shepherd implementation of special projects.
• Provide expert advice and support on matters of strategic significance related to Enforcement.
• Serve as a liaison and strategic partner across FINRA on Enforcement matters.
• Establish and maintain critical relationships with internal and external stakeholders.
• Lead or participate in enterprise-wide initiatives.
• Develop and execute comprehensive communications strategies.

Vice President, Enforcement Senior Advisor – Operations

Administrative Assistant

• Creates routine correspondence, reports and forms in support of department.
• Types, formats, and edits non-routine correspondence, reports, forms and related documents using word processing software.
• Organizes files and computer databases and makes corrections to information in files.
• Prepares advanced charts, graphs, tables, and presentations using word processing, spreadsheet, and presentation software.
• Answers the telephone, screens/routes calls, and takes messages for senior staff.
• Provides information as appropriate and assists visitors.
• Prepares mail for pick-up and routes mail for officers.
• Schedules/organizes meetings, luncheons, and events.
• Prepares meeting agendas, takes minutes, and documents decisions.

Senior Administrative Assistant, Enforcement

Principal

• Perform essential analysis and research to enable MRS to innovate and expand its portfolio
• Develop comprehensive assessments of opportunities, risks, benefits, and costs for new or enhanced products and services
• Conduct market research and analysis for evaluations
• Engage industry stakeholders to gather insights on market practices
• Collaborate with FINRA business units for product development support
• Ensure assessments incorporate cross-functional perspectives
• Evaluate strategic fit of opportunities against FINRA's guiding principles
• Synthesize research findings into actionable recommendations

Senior Principal, MRS Strategic Innovation, Research

Financial Planning and Analysis

• Serve as the subject matter expert for Workday Financials, including Core Financials, Accounts Payable, Accounts Receivable, Procurement, Expenses, Banking & Settlement, and Business Assets
• Gather, analyze, and document business requirements; translate them into functional designs and Workday configurations
• Lead configuration, testing, and deployment of Workday Finance enhancements
• Design and maintain Workday financial reports, calculated fields, dashboards, and composite reports
• Mentor junior analysts and serve as a resource for cross-functional teams adopting Workday Finance capabilities

Senior Analyst, Technology – Workday Finance

Executive Assistant

• Provides comprehensive and confidential administrative support to the Executive Vice President and Chief Human Resources Officer
• Significant coordination and correspondence between internal and external staff
• Prioritize inquiries and requests while troubleshooting and resolving conflicts
• Provides guidance to complex calendar management
• Schedules appointments, including conference calls and video conferences
• Makes complex arrangements for travel and addresses last-minute changes
• Manages incoming calls and prioritizes messages
• Prepares and manages email correspondence and other written materials
• Tracks expenses and prepares expense reports
• Provides assistance and guidance to various organizational PS programs.

Senior Executive Assistant, CHRO

• Directly manage team(s) focused on delivering high quality project results
• Focus on team leadership, delivery of business value, risk mitigation, cost optimization and return on investment
• Direct and coordinate organization's financial and budget activities
• Ensure technology best practices are being implemented and improved
• Analyze information and evaluate results to choose the best solutions
• Support the evaluation of new technologies, techniques, and tools
• Report status and issues to senior Technology management team
• Work directly with outside vendors to negotiate services and product agreements
• Develop constructive and cooperative working relationships with peers

Associate Director – Technology

• Develop, implement and maintain privacy governance frameworks, policies, procedures, and controls
• Direct data privacy initiatives, privacy assessments, and data loss reporting
• Serve as escalation contact for privacy-related inquiries and audits
• Lead privacy assessment process across departments
• Manage privacy incident response operations
• Direct internal and external relationships relating to privacy technology solutions
• Collaborate with stakeholders to ensure data management policies align with privacy objectives
• Establish and report metrics to the Board and executive management
• Identify staffing, technology, and training investments for enterprise privacy objectives

Director, Privacy Operations

Risk

• Conduct sophisticated risk monitoring of member firms, including complex or elevated-risk organizations, with minimal supervision
• Analyze regulatory developments and market trends, translating them into actionable recommendations for senior leadership
• Partner with internal departments to identify, communicate, and address emerging risks across the financial industry
• Coach and develop junior risk monitoring staff, sharing your expertise and fostering a culture of excellence
• Take leadership roles in special projects and technology initiatives that advance FINRA's risk monitoring capabilities
• Coordinate with specialists across the organization to deliver comprehensive risk assessments
• Demonstrate commitment to collaboration, innovation, and investor protection in all interactions

Principal Analyst, Risk Monitoring

Human Resources

• Provide support, planning, advising and management of HR processes to client groups
• Partner with the Centers of Excellence to deliver strategic initiatives, programs, and processes to client groups
• Consult with management, providing guidance on change management and talent management
• Coach and educate managers on tactics to navigate difficult conversations
• Assist in the development of comprehensive people strategies and workforce planning
• Proactively recommend strategic people solutions
• Partner and plan with the Vice President and business unit(s)
• Provide input and guidance on workforce planning, succession planning, talent and skills needs
• Analyze trends and metrics, developing solutions, programs, and policies
• Identify ways to improve processes and generate ideas