FINRA

Analyst

• Provide analysis critical to proactive regulatory risk assessment and the development of regulatory strategy
• Work closely with senior staff to conduct continuous qualitative research into market conditions and developments
• Develop and deliver reports on regulatory issues and trends for senior management
• Assess and analyze issues for senior leadership
• Support development of Surveillance environmental SWOT analysis
• Collaborate with the senior management team on SEC oversight inspections
• Develop presentations and reports for the board and Management Committee
• Prepare for and respond to significant market events
• Participate in Surveillance’s engagement with Enterprise Risk Management

Associate Principal Analyst, Market Strategy – Research

Full-stack Engineer

• Own development of software products and improve overall quality throughout the software development life cycle
• Manage processes, projects or products to improve efficiency
• Influence outcomes in cross-functional settings
• Design and develop industry-leading solutions adhering to quality standards
• Ensure tasks and quality of work support team deliverables
• Identify gaps in system components and deliver solutions
• Implement management methods for software development environments
• Develop actionable insights from analyzing software development trends
• Coach and train less experienced colleagues in techniques, processes, and responsibilities
• Partner within and across teams to remove barriers and identify shared goals

Lead Software Engineer – Big Data

• Conducts routine and complex assessments and analysis of FINRA firms’ Corporate Financing filings and related investigative matters
• Analyzes filings for violations of rules, regulations, statutes, and policies
• Drafts well-written correspondence and analysis
• Delivers high-quality work product that reflects and leverages acquired knowledge, training, feedback, and guidance with limited corrections
• Monitors workflow and task completion
• Responds to internal and external requests and inquiries regarding filings reviews
• Escalates complex and/or sensitive matters and developments to second reviewers and/or managers
• Participates in and contributes to internal and external meetings related to assigned work
• Keeps current with relevant rules, regulations, statutes, and policies governing filings
• Demonstrates the culture of intelligence, integrity, and initiative in day-to-day interactions with the team

Senior Analyst, Public Offerings

Compliance

• Act as strategic thought partner embedded within an assigned MRS line of business
• Assess and provide proposed solutions for complex operational, regulatory, and policy issues
• Build strategic relationships with senior leaders across FINRA and external stakeholders
• Lead enterprise-critical special projects and cross-functional initiatives
• Develop executive-level reporting and strategic analysis using data analytics
• Conduct strategic organizational assessments to drive operational excellence
• Partner with MRS leadership on strategic planning and governance frameworks
• Oversee development and maintenance of departmental procedures
• Direct MRS regulatory compliance strategy
• Collaborate both in-person and virtually in furtherance of FINRA’s mission

Strategic Advisor, Market and Regulatory Services

• Conduct routine surveillance reviews to identify unusual market activity
• Draft summaries of internal updates regarding rules and regulations
• Assist with projects for testing and developing new analytics and surveillance tools
• Present investigative findings to management
• Follow area protocols, standards, and policies

Senior Analyst, Surveillance and Market Intelligence

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 assess evidence, and apply a well-reasoned legal framework
• Identify potential risks, defenses, individual liability and Principal Considerations
• Negotiate settlements effectively
• Contribute to internal discussions regarding legal strategy and assist in litigation preparation
• Achieve Enforcement outcomes that are foreseeable and transparent in non-complex matters
• Prepare cases for litigation to facilitate prompt filing and efficient document production

Counsel, Enforcement

• Own development of software products and improve overall product quality
• Architect and build infrastructure and tooling for AI agent development
• Develop production-grade agentic systems and observability solutions
• Define and implement next generation of SDLC through AI innovation
• Develop production-grade AI agents and create custom integrations and CLI tools
• Design testing strategies to ensure agent reliability and output quality
• Build AI solutions to enhance code navigation and developer workflows
• Architect and maintain production infrastructure for agent deployment and scaling
• Create governed Model Context Protocol catalog and implement governance controls
• Design and implement metrics, monitoring, and logging infrastructure
• Build dashboards for actionable insights into productivity, tool adoption, and performance
• Analyze data to identify optimization opportunities and guide investment decisions
• Partner across teams for AI-powered tooling adoption
• Stay current with LLM technologies and coach colleagues on best practices
• Rapidly prototype solutions to validate use cases and communicate insights to stakeholders

Lead Engineer, AI Agent & Infrastructure

Director

• Defines, evolves and stewards the organization’s brand and visual identity across all channels and touchpoints;
• Leads the creative and design function, ensuring a cohesive, modern and effective brand expression across digital platforms, publications, content, marketing communications and video;
• Sets the creative strategy and vision for campaigns and organizational initiatives;
• Owns and evolves the organization's brand identity, serving as primary authority on brand strategy, standards, and governance;
• Develops and maintains design systems, templates and toolkits that enable scalable, consistent brand execution;
• Collaborates with business and content strategy leaders to align brand expression with storytelling and messaging frameworks;
• Partners with production operations and visual production teams to translate brand direction into executable production standards;
• Establishes workflows that balance creativity, execution speed and governance;
• Manages and mentors design team members while identifying and managing external vendors to augment expertise and support creative deliverables;
• Works collaboratively to tell the organization’s story in a clear, crisp and compelling manner across digital, video, print and at conferences.

Director, Brand and Creative

• Assists in developing software products
• Works on improving the overall quality of the product throughout the software development life cycle
• Works on problems of moderate scope
• Influences others within specific area of responsibility
• Develops basic Apply foundational knowledge
• Writes code that is flexible, reusable, efficient, and adaptable to changing requirements
• Analyzes the system to determine properties and functions
• Builds tools and produces technical documentation to improve efficiency
• Ensures actions align with team-level goals
• Collaborates and shares relevant information with teammates
• Proactively acknowledges perspectives and supports appropriately
• Demonstrates FINRA’s values and collaborates to further its mission of investor protection and market integrity

Software Engineer

• Manage the RegOps strategy team to provide direction, leadership, transparency, and support delivery across goals
• Drive forward-looking strategy formation and strategic planning excellence across Regulatory Operations
• Develop consolidated roadmap of priorities across Regulatory Operations
• Work closely with Senior Leadership Team to establish annual strategic goals
• Lead a cultural shift from reactionary execution to strategic and visionary planning of key initiatives
• Engage and act as liaison with Program Delivery to identify and implement appropriate project management approaches

Senior Director, Strategy

• Lead the Program Delivery team to deliver transformative Regulatory Operations initiatives
• Direct and manage multiple senior-level program managers and individual contributors
• Facilitate and lead cross-functional program/project forums
• Provide strategic direction and ensure alignment with RegOps strategic priorities
• Execute day-to-day responsibilities including drafting materials and status reporting
• Anticipate and articulate cross-program/project risk(s), issues, and dependencies
• Collaborate with business users, technical team, and other FINRA functions
• Support complex assignments concurrently that require autonomy and judgment
• Create and present materials that communicate current state processes and challenges
• Propose and create senior management reporting and analytics

Senior Director, Program Delivery

• Directing and managing the complete life cycle of the adoption of new regulatory requirements.
• Providing expert knowledge to the Board of Governors and senior management on high-impact regulatory initiatives and rule changes.
• Acting as the primary coordinator of the policy and rulemaking functions within the Capital Markets Group of OGC.
• Overseeing the preparation of board and committee materials and regulatory notices.
• Conducting economic impact assessments of rulemakings in the capital markets area.
• Managing public communication of FINRA proposals and legal interpretations to member firms and the media.

Associate General Counsel, Capital Markets

• 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
• Conducts complex reviews and spot-checks as needed
• Reviews highly complex communications with the public including retail and institutional sales material submitted by firms
• Provides written comments on compliance of materials with applicable rules
• Responds to letters and telephone inquiries regarding filing reviews and comments
• Helps mentor staff members and provides ongoing training
• Assures quality and timeliness of staff member’s work
• Provides timely input on performance appraisals
• Answers questions from staff and external customers like firms and regulatory agencies
• Keeps up-to-date on changes in advertising rules and new investment products
• Assists in analysis of communications received as complaints or inquiries

Associate Principal Analyst, Advertising Regulation

Social Media Manager

• Set FINRA's social media strategy in alignment with organizational goals and priorities
• Execute social media strategy with minimal oversight from the Vice President, External Communications
• Build and maintain an editorial calendar
• Translate message strategy and financial content into high-quality social media content
• Independently create engaging social media plans across multiple platforms
• Monitor social media engagement and manage FINRA's response
• Understand and apply best practices to maximize effectiveness of channel performance
• Coordinate with data analytics team to deliver regular reporting
• Stay up to date on industry best practices and emerging trends

Chief of Staff

• Serve as a key OCLO authority and liaison on projects and initiatives related to OCLO goals and objectives
• Lead and participate in cross-functional working groups on behalf of OCLO
• Coordinate and manage OCLO organizational programs
• Develop and implement OCLO’s organizational strategy
• Establish processes, standards and key metrics for OCLO
• Identify opportunities for further streamlining and improving operations
• Create and maintain reports, project plans and metrics
• Oversee the development and implementation of OCLO's strategic technology plan
• Act on behalf of OCLO executive and senior leadership
• Develop and maintain effective relationships with senior leaders throughout the organization
• Adapt quickly to changing circumstances and respond to crises
• Support OCLO compensation planning, staffing processes, and other organization-wide People Solutions initiatives