FINRA

Blockchain Engineer

• Serve as a FINRA expert on crypto assets, blockchains, smart contracts, onchain technologies, and crypto asset compliance
• Independently lead investigations involving tokenized securities and other crypto asset activities of FINRA member firms and associated persons
• Investigate money laundering, onchain vulnerabilities, cybersecurity incidents, fraud, and supervisory or operational control deficiencies
• Conduct onchain transaction tracing, wallet attribution analysis, smart contract auditing, onchain vulnerability and threat detection, and cross-chain analysis using blockchain forensics platforms
• Document investigative strategies, findings, and results, and provide recommendations
• Serve as a subject matter expert for FINRA staff and external engagements
• Speak at FINRA and industry-sponsored events
• Participate in or lead training development and delivery on tokenized securities, crypto assets, and blockchain technology
• Participate in industry engagement initiatives concerning effective practices, common challenges, emerging trends, and regulatory considerations
• Identify and share intelligence on emerging threats and trends with internal and external stakeholders
• Collaborate in person and virtually to support investor protection and market integrity

Senior Principal Investigator – Crypto Asset Investigations, Blockchain Technology

Analyst

• Investigate with purpose: Analyze trading activity within your area of focus to detect potential violations of federal securities laws, FINRA rules, and RSA client rules
• Stay sharp on the rules: Research evolving regulations, guidance, and advisories, and share timely updates with your team
• Build better tools: Contribute to testing and developing new analytics, surveillance technology, and detection methods that keep pace with evolving fraud tactics
• Tell the story clearly: Prepare well-organized, detailed, and accurate reports that document your findings
• Close the loop: Document review steps and outcomes, including referrals to Enforcement and outside agencies
• Lead by example: Serve as a subject matter expert, coaching and training colleagues on techniques and best practices
• Take on special projects: Deliver high-quality, timely work on initiatives that advance departmental and organizational goals
• Grow with support: Work on routine projects with guidance from management as you build toward greater independence
• Live our values: Embody FINRA's values of Responsibility, Innovation, Collaboration, and Expertise, and help foster our culture of diversity and inclusion
• Participate in cross-team initiatives across Surveillance
• Stay current on industry trends, practices, and regulatory developments

Associate Principal Analyst, Surveillance

Operations

• Monitor intra-day trading across FINRA's trade reporting facilities
• Deliver strong customer service by responding to inquiries
• Maintain the databases that support the operation of the marketplace
• Present matters to senior leadership with clarity
• Assist junior analysts with routine operational matters

Senior Analyst, TS Market Operations

Strategy

• Provides critical leadership in proactive regulatory risk assessment and the development of regulatory strategy.
• Enables Surveillance to effectively develop regulatory strategy informed by market conditions and developments.
• Achieves the goals and priorities of the department.
• Conducts continuous qualitative research into market conditions and developments.
• Manages an analyst to deliver specialized reports on regulatory issues and trends.
• Assesses issues impacting the department and determines the proper course of action.
• Identifies urgent issues for attention of senior leadership and presents organized, succinct updates.
• Develops and maintains relationships with senior leaders and external FINRA constituents as needed.
• Oversees Surveillance environmental SWOT analysis and supports strategic goal development.
• Evaluates business unit structures/processes to identify barriers to effectiveness.
• Drives decisions on new program creation or improvements to existing ones.
• Collaborates with senior management on SEC oversight inspections and internal audits.
• Develops presentations and reports for the board and Management Committee.
• Represents senior leadership at meetings and events as necessary.
• Coordinates with various FINRA departments for a holistic organizational response to critical issues and trends.

Senior Director, Market Strategy – Research

Manager

• Directs, conceptualizes, plans and implements educational programs for member firms.
• Defines, designs and develops curricula for new and updated educational offerings.
• Creates and edits content outlines, content, and instructor notes.
• Identifies, selects and coordinates the efforts of internal and external subject matter experts.
• Maintains a working knowledge of legal, policy and regulatory issues related to securities.
• Interfaces with content development partners and internal staff.
• Research and apply securities industry knowledge to FINRA’s educational programming.
• Collaborate in furtherance of FINRA’s mission of investor protection and market integrity.

Manager, Member Firm Experience

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

• 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