FINRA

Human Resources

• Serve as a trusted advisor and expert in Integrated Talent Management
• Partner with HR business partners and senior leaders
• Design, develop, and lead integrated talent management processes
• Monitor the effectiveness of integrated talent management initiatives through reporting
• Facilitate training on talent management processes
• Develop and maintain effective working relationships with management
• Guide people leaders towards developmental solutions
• Manage or coordinate external vendors for optimal resource use

Associate Director, Performance and Talent Management

Architect

• Lead enterprise IAM initiatives from planning through implementation
• Design and develop custom Java-based solutions within SailPoint IdentityIQ
• Lead the architecture of robust, scalable IAM solutions across hybrid environments
• Manage complex access provisioning and deprovisioning workflows
• Collaborate with security and compliance teams on governance frameworks
• Create and maintain technical documentation for audit purposes
• Mentor junior engineers on SailPoint development, IAM architecture, and security best practices

Lead Identity Access Management (IAM) Engineer – Architect

Analyst

• Serve as the primary HRIS analyst for Workday, providing day-to-day production support, issue resolution, and system operational maintenance
• Lead and support Workday modules such as Core HCM, Compensation, Benefits, Absence, Talent and Performance, Recruiting
• Provide functional guidance to HR partners on Workday processes, transactions, and operational best practices
• Partner with HR and business stakeholders to identify optimization opportunities across Workday ecosystem
• Partner with product and engineering team to configure, test, and deploy Workday business process frameworks, security, reports, dashboards, and integrations
• Lead user acceptance testing (UAT) for Workday enhancements, major initiative implementations, and upgrades
• Perform regular data audits to ensure accuracy and completeness of employee and organizational data and compliance with internal policies and regulatory requirements
• Develop and maintain HRIS documentation, user job aides, standard operating procedures
• Support change management initiatives and deliver training to end users

Senior Workday Analyst

General Counsel

• Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy
• Execute an effective risk-based legal strategy to assess the record fairly
• Recommend fair and effective outcomes accurately assessing evidence and applying a well-reasoned legal framework to cases
• Identify potential risks, defenses, individual liability and Principal Considerations
• Negotiate settlements demonstrating knowledge of the record and law
• Prepare cases for litigation facilitating prompt filing and efficient document production
• Conduct non-complex witness examinations in litigation
• Monitor and advise in investigations ensuring focus and identifying necessary inquiries

Counsel, Enforcement

• Lead the implementation, governance, and optimization of Human Resources Information Systems (HRIS)
• Partner with HR COEs and Technology teams to design and manage HR technology platforms
• Ensure data integrity, system scalability, and regulatory compliance
• Act as a liaison between business stakeholders and the product and engineering team
• Oversee the maintenance, optimization, and configuration of Workday and other HRIS platforms
• Provide advanced reporting and analytics support
• Lead change management efforts for HR technology initiatives
• Develop training programs and oversee development of materials

HR Technology Associate Director

Director

• Directs examination activities to achieve strategic initiatives for the department and serves as a primary point of contact for internal stakeholders for examination activities
• Manages a team of examiners and empowers them to make decisions relating to the completion of exams
• Builds and integrates the culture of intelligence, integrity, collaboration, and initiative into team goals and decisions
• Provides guidance to staff, management, and external parties on high-level issues

Examination Director – Capital Markets

• Responsible for the architecture, implementation, and ongoing management of enterprise collaboration, messaging, and identity platforms
• Ensure critical services remain secure, reliable, and efficient for employee performance
• Build and mentor high-performing teams
• Strategic architecture for identity platforms, messaging, and collaboration tools
• Vendor and financial management including Microsoft licensing optimization
• Maintain 99.9%+ uptime SLOs
• Develop and implement strategic vision combined with operational excellence

Director of Technology – Directory, Messaging & Collaboration, O365

• Conducts complex surveillance reviews under minimal supervision
• Guides team members in documentation processes and results
• Research updates on rules and regulations
• Develops new analytics and surveillance tools
• Represents FINRA in internal meetings
• Participates in special projects to advance departmental goals

Principal Analyst, SMI Capital Raising – Fraud

• Conduct routine surveillance reviews to identify unusual market activity
• Draft summaries of internal updates regarding rules, regulations, guidelines
• Assist with projects for testing and developing new analytics
• Present investigative findings to management and follow documentation processes
• Participate in initiatives across Surveillance

Senior Analyst, Customer Order Handling

• Leads a team of Examiners and directs examination activities to ensure strategic objectives for the department are met
• Serves as a primary point of contact for team members, as well as providing guidance to leadership and external parties on high-level matters
• Accountable for the performance management of the exam team with respect to goal management, skills development, and engagement
• Consolidates and synthesizes information gathered from shared feedback, trends, and patterns to identify and recommend opportunities for Exam program improvements
• Builds and integrates the culture of intelligence sharing, integrity, collaboration, and initiative into team goals and decisions
• Directs examination activities to achieve strategic initiatives for the department
• Manages a team of examiners and empowers them to make decisions relating to the completion of exams
• Provides strategic guidance, advice, and support to Member Supervision leadership
• Manages operational aspects of the exam including budget, performance, workflow and compliance
• Ensures that all aspects of the exams achieve goals within established timelines and budgets
• Collaborates and coordinates with Risk Monitoring counterparts to ensure strategic focuses are addressed
• Develops relationships with other Examination leaders and Risk Monitoring counterparts to provide feedback and share trends

Examination Director

Financial Planning and Analysis

• Assisting investigators and managers with the investigative processes
• Analysis of surveillance alerts, trade data and other evidence obtained in connection with Financial Crimes investigations
• Learning how to determine member firm regulatory compliance
• Assisting in reviewing and analyzing customer complaints and investigations
• Assisting with reviewing, analyzing, and comparing documents and information on firm finances, policies, procedures, practices, and products to security industry rules, regulations and guidelines
• Assisting in preparing memoranda and reports regarding investigations
• Collecting, preparing and itemizing exhibits for reports of investigations
• Assisting in collecting historical pricing data utilizing market trade data and prepare FINRA's examination schedules
• Performing research on various matters

Undergraduate Intern – Finance, Accounting, Business

• Develop FINRA travel policy and procedures
• Act as liaison for FINRA to Travel Management Company (TMC), Technology, and all suppliers
• Negotiate preferred rates and terms with airlines and hotels
• Manage UATP (Universal Air Travel Program), car rental companies, and other travel vendors
• Manage the overall travel budget, analyze spending patterns, and identify opportunities for cost savings
• Develop and implement automated first level program support processes
• Field complaints and interact with FINRA travelers daily
• Liaise with TMC to support travelers
• Support board members travelling to FINRA meetings
• Ensure all business travel adheres to company policies and regulatory requirements
• Collaborate with the meeting planning department to coordinate group travel arrangements
• Implement and manage travel booking systems, expense reporting tools, and other travel-related technologies
• Develop SLA monitoring, KPI’s, and reporting for all aspects of the program
• Monitor and provide reports on program performance to identify trends and areas for improvement
• Oversee the development and distribution of critical communications
• Train employees on travel policies, booking tools, and expense reporting processes
• Stay current on industry trends, travel regulations, and best practices
• Attend industry training programs
• Lead vendor and technology assessments for enterprise travel solutions
• Manage end-to-end travel management Request for Proposal (RFP) process

Director – Corporate Travel

• Monitors trade reporting integrity for regulatory compliance
• Facilitates compliance with Transparency Services Reg SCI requirements
• Conducts complex data analysis to identify trends, patterns, and insights to inform business decisions
• Designs and implements data collection methods and tools to advance optimal business analytics processes
• Determines key performance indicators and develops methods to effectively measure and track them on a regular basis
• Coaches more junior colleagues in techniques, processes, and responsibilities
• Demonstrates FINRA’s values
• Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity
• Leads multi-level initiatives across the organization
• Provides subject matter expertise in regulatory area to advance FINRA and industry initiatives
• Remains current on industry trends, practices, and regulatory impacts

Principal Analyst, Transparency Services – Equities

Administration

• Working as a virtual member and operational point of contact for advisors’ offices
• Collaborating with various internal operational teams to research and resolve complex issues
• Managing client data in Commonwealth’s CRM platform

Virtual Administration Specialist

Compliance

• Provide high-quality administrative support for OGC Regulation offices
• Evaluate and refine organizational systems and workflows
• Plan and coordinate OGC programs, initiatives, and events
• Oversee preparation of agendas, materials, logistics and follow-up for meetings
• Prepare reports, presentations, and correspondence supporting regulatory processes
• Communicate effectively with OGC staff
• Manage budget preparation, tracking, and expense reconciliation
• Negotiate and manage vendor contracts
• Maintain OGC policies and procedures
• Support strategic planning and goal setting
• Represent OGC in cross-departmental initiatives
• Oversee document management processes