FINRA

QA Engineer

• Edit exam questions and continuing education content for style, grammar, clarity, and terminology
• Edit content outlines, program-related communications, presentations, and similar supporting materials
• Edit test-development documentation and technical reports
• Work with internal staff and client representatives to meet project schedules
• Maintain style guides documenting writing, formatting, and terminology standards for FINRA and/or client examinations
• Work with Content Managers to train authors on style and usage standards
• Serve as a resource to FINRA staff on editorial matters
• Demonstrate FINRA’s values
• Collaborate in-person and virtually in furtherance of FINRA’s mission of investor protection and market integrity
• Contribute to special projects as assigned by management
• Travel infrequently, less than 10%

Editor – Test Development

Director

• Lead strategy, engineering, and operations for enterprise Web Application Firewall (WAF), Public Key Infrastructure (PKI), certificate lifecycle management, secure software development, and public cloud platforms
• Directly manage and/or influence teams across technology disciplines
• Own WAF strategy, architecture, and daily operations, including rule tuning, policy management, false-positive reduction, DDoS/bot mitigation, and protection of internet-facing and internal applications
• Direct PKI practice, including certificate authority operations, certificate lifecycle automation, key management, HSM administration, TLS/mTLS standards, and code-signing services
• Evaluate and responsibly adopt generative AI, AI-assisted development, and AI-driven security tooling while managing security, privacy, and governance risks
• Coordinate internal and external partners to improve technology reliability and usability while optimizing costs and return on investment
• Deliver results aligned with FINRA annual goals, department goals, and management requests
• Direct and coordinate financial and budget activities for the program, project, and/or practice area
• Provide leadership in application security, cryptography, secure software engineering, cloud security, and responsible AI adoption
• Analyze information, evaluate results, and select solutions to solve problems
• Support evaluation of technologies, techniques, and tools across WAF, PKI/cryptography, and AI
• Report status and issues to senior Technology management
• Negotiate services and product agreements with WAF, certificate authority, security, and AI security tooling vendors
• Serve as backup to more senior management as needed
• Develop and maintain cooperative relationships with internal and external peers
• Establish, evolve, and maintain compliance with standard practices and processes
• Ensure adherence to technology policies and security controls
• Ensure work products meet or exceed FINRA standards and risks are managed effectively
• Participate in DR, BCP, and SOX testing and reporting, including certificate expiry, key recovery, and WAF failover scenarios
• Identify and hire resources, including WAF engineers, PKI/cryptography specialists, software developers, and cloud security engineers
• Manage staff performance and training
• Coordinate assignments of subordinate staff
• Demonstrate FINRA values and collaborate in-person and virtually in support of investor protection and market integrity

Director – Technology, Web Application Firewall (WAF)

Research Analyst

• Provide business management and knowledge discovery for Regulatory Operations strategic and analytical development efforts
• Participate in or lead the design and implementation of complex data-driven solutions for regulatory matters and surveillance programs
• Work with senior staff to conduct and present regulatory analyses
• Build scalable technical solution frameworks for single-domain and multi-domain use
• Generate insights from multi-terabyte distributed datasets
• Identify and share insights to improve current and future surveillance programs
• Recommend strategic datasets for investigatory and surveillance functions
• Collaborate on trends in regulatory, data, analytics, and machine learning domains
• Design quantitative multi-market and multi-product investigatory solutions for market manipulation and market conduct violations
• Provide written and visual analysis artifacts to senior personnel
• Enhance and evolve the surveillance investigatory program in response to market trends
• Provide quantitative support for market studies, examinations, and investigations
• Identify business problems solvable with machine learning
• Perform regulatory impact assessments for industry, FINRA, and RSA client initiatives
• Adapt investigatory, referral, and examination programs to new rules and initiatives
• Support communication of program vision, strategy, operations, processes, and implementation status
• Coordinate assigned tasks and projects and provide status reports
• Fulfill administrative reporting tasks
• Participate in ad hoc special projects and national initiatives
• Collaborate in person and virtually in support of investor protection and market integrity

Senior Principal Strategic Research Analyst, Market Analytics

Attorney

• Assist Enforcement attorneys, investigators and management in investigating whether FINRA-regulated firms or associated individuals violated federal securities laws or FINRA/MSRB rules
• Conduct legal research and writing
• Review documents
• Assist staff in preparing for on-the-record testimony
• Observe on-the-record interviews and settlement negotiations
• Attend departmental meetings
• Participate in trainings designed to build or enhance skills and knowledge
• Complete a January–April spring semester externship

Legal Extern, Enforcement

Analyst

• Monitor and respond to real-time trade report and data dissemination issues
• Coordinate FINRA internal teams and external parties during emergencies and events
• Analyze trade data and trading events and make recommendations to senior leadership to meet SEC requirements
• Provide extended-hours support for FINRA trading systems
• Monitor trade reporting integrity for regulatory compliance
• Facilitate compliance with Transparency Services Reg SCI requirements
• Conduct complex data analysis to identify trends, patterns, and insights
• Design and implement data collection methods and tools
• Determine key performance indicators and develop methods to measure and track them
• Coach more junior colleagues in techniques, processes, and responsibilities
• Lead multi-level initiatives across the organization
• Provide subject matter expertise on regulatory areas, including LULD Plan, rule filings, market events, and congressional testimony preparation
• Remain current on industry trends, practices, and regulatory impacts
• Collaborate in-person and virtually to advance investor protection and market integrity

Principal Analyst, Transparency Services – Extended Hours

DevOps Engineer

• Implement and support cloud infrastructure capabilities across AWS environments
• Partner with Architecture, Security, IAM, Platform Engineering, and application teams to implement cloud solutions
• Troubleshoot cloud infrastructure and release deployment issues
• Automate operational processes and ensure adherence to enterprise standards
• Lead or co-lead internal project and program-level process improvement initiatives
• Provide feedback and suggestions on processes
• Informally mentor junior staff
• Assist with adherence to technology policies and security controls
• Ensure work products meet or exceed FINRA standards
• Demonstrate FINRA’s values
• Collaborate in person and virtually in support of FINRA’s investor protection and market integrity mission

Staff Release Engineer

• Deploy software into production environments
• Ensure configuration management deliverables are transitioned to the appropriate production operations team
• Act as gatekeeper for new in-house application release implementations and change management before production entry
• Participate in release deployment calls
• Interface with team members and other teams in peer review of software configuration management standards and methods
• Document and communicate release results in a timely manner
• Champion collaborative defect resolution and drive issues to closure
• Lead or co-lead internal project/program-level process improvement initiatives
• Provide feedback and suggestions on processes
• Informally mentor junior staff
• Assist with adherence to technology policies and security controls
• Collaborate in person and virtually in furtherance of FINRA’s investor protection and market integrity mission

Business Operations

• Establish and execute short- to mid-term operational plans driving measurable results across Transparency Services
• Advise senior leaders on high-impact and sensitive regulatory issues
• Contribute to annual and longer-term risk management strategy
• Independently operate in a real-time overnight market-facing role
• Interact with trading firms, Alternate Trading Systems, technology providers, and regulators
• Lead FINRA’s real-time overnight response to market halts, trade breaks, and extraordinary market conditions for over-the-counter trading in exchange-listed securities
• Field and resolve real-time inquiries from trading, operations, and compliance staff at participant firms
• Establish and oversee Trade Reporting Facility participant contact and reference data databases
• Advise and influence Transparency Services Operations, Market Regulation, and OGC on real-time issues
• Manage a team of managers and/or experienced individual contributors
• Conduct career development conversations and provide coaching and feedback
• Identify and escalate significant regulatory risks and develop elevated risk mitigation plans
• Direct staff reviewing and analyzing alerts and regulatory intelligence from internal sources, regulatory tips, customer complaints, firm filings, and regulator referrals
• Assist with internal audits, SEC/FINRA and Securities Industry Oversight inspections, and Department compliance functions
• Represent FINRA and the Department at regulatory policy conferences and meetings
• Collaborate in-person and virtually to further FINRA’s investor protection and market integrity mission

Director, TS Business Operations

Operations

• Develop, implement, and maintain privacy governance frameworks, policies, procedures, and controls
• Direct Data Privacy initiatives, privacy assessments, data loss reporting, departmental privacy engagement, and issue identification and resolution
• Serve as escalation contact for privacy-related inquiries, requests, and audits
• Communicate complex privacy topics to stakeholders at all levels
• Lead privacy assessments across departments to identify, mitigate, and remediate privacy risks
• Lead and manage privacy incident response operations, including investigations, incident management, and remediation of data loss events
• Manage internal and external relationships concerning privacy technology solutions used to document and record privacy activities
• Collaborate with enterprise stakeholders to ensure data management policies and technical controls support privacy objectives
• Advise FINRA technology and data governance initiatives and translate privacy objectives into operational frameworks
• Direct establishment and reporting of privacy-program performance metrics to the Board and FINRA executive management
• Identify staffing, technology, and training investments aligned with the Privacy Operations budget and resource allocation
• Collaborate in person and virtually to support FINRA’s mission of investor protection and market integrity

Director, Privacy Operations

• Lead proactive regulatory risk assessment and development of regulatory strategy
• Conduct continuous qualitative research into market conditions and developments with Surveillance Operations leadership
• Manage an analyst producing specialized reports on critical regulatory issues and trends for senior management and Regulatory Ops business lines
• Assess departmental issues, determine courses of action, and analyze high-risk or urgent matters for senior leadership
• Develop and maintain relationships with senior organizational leaders, the SEC, other regulators, and market participants
• Develop and manage Surveillance environmental SWOT analysis and support strategic goal development
• Identify, develop, and respond to rule-change management issues, including rules impact analysis
• Support SEC oversight inspections and FINRA internal audits
• Develop presentations and reports for the board and Management Committee
• Represent senior leadership at meetings and events with internal and external stakeholders
• Prepare for and respond to significant market events with organizational counterparts
• Formulate FINRA responses to issues and trends posing ongoing investor-harm risks with Investor Education and Corporate Communications
• Support Enterprise Risk Management and provide input on Regulatory Ops risk assessments
• Collaborate in person and virtually to advance investor protection and market integrity

Director, Market Strategy – Research

System Administrator

• Work under minimal supervision performing manual and automated activities to ensure FINRA data centers meet defined quality standards
• Review and analyze process and system specifications to ensure delivery requirements are met
• Design, implement, customize, maintain and administer operating systems and system software products
• Recommend enhancements, updates and patches to operating systems, system software and hardware
• Sustain and improve Reliability, Availability and Serviceability metrics
• Implement and update monitoring tools; monitor operating-system performance
• Recommend monitoring approaches and tools and develop related documentation and presentations
• Document test plans and create, revise and execute scripts
• Test and analyze equipment and infrastructure setups
• Implement security guidelines to prevent unauthorized server access and report violations
• Perform field-level hardware repairs and upgrades
• Interface with team members and other teams to align technology solutions and staff with customer expectations and technology goals
• Document and communicate status, including metric reporting
• Champion collaborative defect resolution across the organization
• Lead or co-lead internal process-improvement initiatives and provide process feedback
• Evaluate industry trends, standards and technologies and recommend changes
• Mentor and supervise junior staff on project-level tasks
• Assist with technology-policy adherence and comply with security controls
• Ensure work products meet or exceed FINRA standards
• Participate in Disaster Recovery, Business Continuity Planning and Sarbanes-Oxley testing and reporting
• Manage vendor relationships and related budget
• Demonstrate FINRA’s values and collaborate in person and virtually in furtherance of FINRA’s investor-protection and market-integrity mission

Editor – Test Development

Director – Technology, Web Application Firewall (WAF)

Senior Principal Strategic Research Analyst, Market Analytics

Legal Extern, Enforcement

Principal Analyst, Transparency Services – Extended Hours

Staff Release Engineer

Staff Release Engineer

Director, TS Business Operations

Director, Privacy Operations

Director, Market Strategy – Research

Senior Systems Administrator/Engineer