FINRA

Financial Planning and Analysis

• Conduct sophisticated financial analysis and planning across key organizational areas
• Serve as a liaison between Enterprise Finance and Business Unit Finance teams
• Recommend innovative financial modeling techniques and forecasting methods
• Advise senior management of financial planning complications and provide recommendations
• Review for accuracy of financial reports and analyses
• Partner with FP&A Business Functional teams to create enterprise financial reports
• Coordinate the preparation of pertinent information for internal and external clients
• Benchmark financial metrics against industry standards for improvement
• Create and maintain financial dashboards and variance narratives
• Manage business case review and approval process
• Coach and train junior colleagues

Associate Director, Enterprise Financial Planning, Analysis

Product Manager

• Leads a product team responsible for a specific product group
• Works with a high level of autonomy and discretion
• Develops a comprehensive product strategy and oversees the roadmap and backlog
• Establishes key performance indicators for the product group
• Develops and presents detailed business cases to senior executives
• Manages and develops team members
• Develops a deep understanding of product areas and identifies user needs
• Defines products across multiple product groups and coordinates with interdependent teams
• Leads product planning and prioritization processes, overseeing requirements development
• Facilitates development process and oversees product launches
• Tracks performance trends and builds relationships with industry leaders

Director, Product Management

• Owns the vision and strategy, roadmap, and feature definition for a product
• Write stories to define outcomes and product requirements
• Plan and manage product features through the product development process
• Manage the product backlog while prioritizing work
• Identify and manage work independently while working closely with partners
• Develop user insights and product definitions
• Own the product roadmap and make trade-off decisions
• Maintain a prioritized backlog based on user value
• Facilitate the development process by reviewing demos
• Track development work and identify product-level issues
• Lead product launches and develop launch plans
• Track product launch metrics and incorporate feedback into future releases
• Identify, classify, and resolve product-level user issues
• Provide coaching to junior product management team members

Financial Crime

• Support intelligence operations
• Conduct research on market trends and vulnerabilities
• Collaborate closely with FINRA's cyber teams
• Collaborate with analytics teams and the FINRA Intelligence Fusion Center
• Contribute to protecting investors and maintaining market integrity

Graduate Intern – Financial Intelligence Unit

Full-stack Engineer

• Assists in developing software products
• Works on improving the overall quality of the product throughout the software development life cycle
• Influences others within one’s specific area of responsibility
• Develops basic solutions focusing on enhancing capabilities
• Writes code that captures the essential nature of the solution and is adaptable to changing requirements
• Ensures completion of tasks and quality of work
• Supports peers to ensure the team delivers consistently
• Analyzes systems to determine properties and functions of each piece of work
• Builds tools and produces technical documentation to improve developer efficiency

Staff Software Engineer

Human Resources

• Provides expert level advice and counsel to senior business leaders
• Leads the design and execution of major programs within one or more functional areas
• Manages multiple corporate initiatives, programs, and projects
• Works cross-functionally, across all areas of the business
• Manages the operational budget for area of responsibility
• Develops and maintains effective working relationships with all levels of management
• Coaches, develops, and manages direct team members
• Ensures service excellence is a key priority among all team members
• Plays a critical role in streamlining HR operations

Director, HR Operations

Administrative Assistant

• Perform required administrative duties for assigned group
• Provide backup assistance to other AAs
• Prepare and organize correspondence, materials, and presentations
• Assist attorneys with litigation and hearing preparations
• Produce reports as requested
• Logistical coordination of meetings and events
• Assist with travel and expense reports
• Collaborate with Enforcement Training as needed

Administrative Assistant, Enforcement

• Develop comprehensive Enterprise financial planning strategies and processes
• Manage BU-specific annual budgets, rolling forecasts, and long-range financial plans
• Oversee creation of executive-ready analyses, dashboards, and narratives
• Monitor and report on financial KPIs and business drivers; provide recommendations
• Build financial tools and models to enhance efficiency and stakeholder financial literacy
• Drive advanced financial modeling and scenario analysis
• Establish frameworks and standards for consistency and accuracy across units
• Develop and maintain enterprise financial models for what-if analysis
• Coach and develop team members and manage performance

Director, Financial Planning – Analysis

Compliance

• Independently conducts complex analyses of FINRA firms’ communications with the public
• Provides assistance and support to Associate Director, Director, and Senior Director in quality control, training, and supervision
• Conducts routine and complex assessments and analyses, including spot-checks, of FINRA firms’ communications
• Participates in and coordinates joint evaluations of communications with other FINRA departments and other regulatory agencies
• Documents analyses and writes correspondence
• Participates with other FINRA staff in on-site reviews and examinations and assists in all aspects of the disciplinary process
• Assists immediate manager in final sign-off of analyses to ensure accuracy of rule applications
• Provides staff with training, coaching, advice and feedback on performance
• Monitors work flow and task completion
• Informs immediate manager of new issues and practices which may lead to policy changes

Principal Analyst, Advertising Regulation

• Provides comprehensive and confidential administrative support to the Executive Vice President, Chief Financial & Administrative Officer and the Chief of Staff & Vice President, Strategic Operations
• Experienced calendar management for CFAO, including scheduling appointments for in-person, conference, and virtual meetings
• Manages incoming and outgoing calls and prioritizes messages, emails, and other correspondence
• Prepares and tracks expense reports for CFAO and COS
• Compiles and distributes reports and other documents which may require some analysis
• Acts as back-up to other Executive Assistants in the FINRA C-Suite as appropriate

Senior Executive Assistant, Enterprise & Financial Solutions

• 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, by providing training and communicating information.
• Conducts complex reviews and spot-checks on an as-needed basis.
• Reviews a full workload consisting of highly complex communications with the public including retail and institutional sales material submitted by firms.
• Provides written comments on compliance with applicable advertising rules.
• Responds to letters and telephone inquiries regarding filing reviews and comments.
• Mentors staff members as needed and provides advice, coaching and ongoing training.
• Assures quality and timeliness of staff member’s work.
• Provides timely input on performance appraisals and communicates regulatory and administrative information.
• Answers questions from staff and external customers.

Associate Principal Analyst, Advertising Regulation

Backend Engineer

• Perform research and review transcripts of hearings, exhibits, and other evidence
• Outline and summarize significant points involved
• Assist in researching and drafting decisions of the National Adjudicatory Council
• Participate in special projects as assigned

Graduate Intern, Python

Paralegal

• Provides paralegal and administrative support for the department’s legal and compliance function.
• Reviews and processes documentation regarding adjudications, legal filings, and research.
• Updates internal case management systems and conducts research.
• Monitors and helps meet the organization's compliance requirements.
• Compiles research for assigned cases and reviews the accuracy of legal documents and filings.
• Drafts legal documentation and maintains internal legal systems under direct supervision.
• Analyzes relevant legal documents and organizational policies to improve knowledge of internal standards.

Senior Paralegal, Appellate

Procurement

• Identifies and evaluates potential suppliers.
• Partner closely with internal business customers on assigned end-to-end RFx, selection, and procurement processes, ensuring business needs are understood and execute sourcing activities to meet their needs; oversee competitive bid process.
• Draft, review, and conduct negotiations to establish favorable contracts, and pricing terms and agreements with vendors to maximize value and minimize risk.
• Manages the full purchase cycle (requests for proposals to purchase orders), ensuring compliance with strict adherence to FINRA's procurement policies and applicable regulatory requirements, and budgetary constraints.
• Develop and maintain relationships with key suppliers to ensure quality, cost, delivery standards are met.
• Monitor and track contract lifecycle of suppliers, initiating timely, value-add activities in renewal, replacement, and terminations of contracts.
• Analyzes spending patterns and identify cost-saving opportunities within assigned business customers.

Lead Buyer, Procurement

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