FINRA

System Administrator

• Design, implement, and maintain enterprise Linux infrastructure across on-premises data centers and cloud environments
• Review and analyze process and system specifications to ensure delivery requirements are met across hybrid Linux environments
• Architect and manage containerized infrastructure using Docker and container orchestration platforms
• Design and implement cloud infrastructure solutions on AWS and Azure
• Recommend enhancements and updates to Linux operating systems, system software products, Docker containers, and cloud infrastructure components
• Ensure the Company's Reliability, Availability, and Serviceability (RAS) metrics are sustained
• Document test plans and create/revise Bash, Python, or other scripting languages for automation
• Implement and update monitoring tools for Linux systems, containerized applications, and cloud resources
• Monitor operating system and cloud infrastructure performance to achieve optimum performance levels
• Mentor and supervise junior staff in project-level tasks, Linux administration best practices, Docker containerization, and cloud operations

Senior Systems Administrator/Engineer – Linux

Procurement

• Lead all phases of contract management from initial negotiation through renewal or termination
• Participate in discussions and drive contract preparation for agreements with third-party providers
• Collaborate with business subject matter experts and vendors to gather and analyze complex data
• Review and validate that vendor invoices align with contractual terms
• Lead periodic vendor review meetings to assess service delivery against SLAs
• Identify and address issues, challenges, or risks associated with service delivery
• Collaborate with leadership to develop contingency and exit plans for contracts

Principal Analyst – Vendor & Contract Management

Director

• Serve as a key point of contact on state securities regulation between FINRA and financial services regulators
• Monitor, analyze, and track individual state initiatives affecting FINRA or regulated broker-dealers and capital markets
• Conduct periodic reporting on state-related issues for senior leaders and make recommendations
• Independently prepare comment letters and testimony on state legislative proposals
• Recommend and oversee external state lobbying consultants
• Coordinate with internal stakeholders and advise FINRA Executives

Associate Director, State Government Affairs

• Lead end-to-end development and execution of programs and initiatives across different organizational levels
• Oversee program delivery, including facilitation of workshops, seminars, and online learning modules
• Curate learning pathways for specific learning needs and styles
• Partner with internal teams, HRBPs, and external consultants to assess current learning needs, identify gaps, and design targeted development interventions
• Monitor and evaluate the effectiveness of development programs using data analytics and participant feedback to measure ROI and ensure continuous improvement
• Develop and manage the development budget for specific programs
• Stay informed on the latest trends in learning & development, particularly use of AI in learning
• Implement strategic upskilling initiatives to build a future-ready workforce
• Coordinate with the broader HR team to ensure seamless integration of development with other learning and development programs

Associate Director, Enterprise Learning

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