Compliance Provider Jobs
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This is an experienced individual contributor role in Regulatory Operations, Risk Intelligence Operations Center (RIOC), which works independently with minimal supervision to assist with the transformation of risk data i...
This Principal Analyst position within Regulatory Operations Surveillance and is responsible for conducting complex surveillance reviews under minimal supervision and identifying violations of applicable federal securiti...
The Director of Digital Strategy & Governance in Corporate Communications is responsible for developing and executing digital strategy for FINRA's internal and external platforms. The Director leads digital governanc...
The Director of Execution Readiness & Mobilization is a role within the Risk Intelligence Operations Center (RIOC), responsible for turning risk intelligence and regulatory priorities into coordinated, execution-read...
The Senior Associate in Corporate Communications is responsible for supporting the organization's communications function to ensure employees, financial institutions, the media, and other stakeholders can rapidly identif...
The Enforcement Counsel resolves non-complex Enforcement matters, and contributes meaningful high quality work for large complex matters. Essential Job Functions: Resolve non-complex Enforcement matters based on rigorous...
This Associate Principal Analyst position within the Surveillance section of Regulatory Operations is responsible for conducting routine surveillance reviews of moderate to high complexity to identify unusual market acti...
The Director of Strategic Business Communications in Corporate Communications - Office of Investor Education/Foundation (OIE), Regulatory Economics and Market Analysis (REMA), Enterprise and Financial Solutions (EFS) ser...
The Director of Strategic Business Communications - Market and Regulatory Services and Technology serves as a primary liaison between assigned FINRA business units, subject-matter portfolios, and Corporate Communications...
The Principal Analyst in Corporate Financing is responsible for independently conducting analyses of complex public offering and/or private placement filings and investigative matters subject to FINRA Rules 5110, 5121, 2...
The Credentialing Program Manager executes the vision, strategy, and roadmap for their assigned programs, and is responsible for achieving the goals that support Credentialing’s programs’ development and maintenance. The...
The Senior Analyst in Market Operations section of Transparency Services supports the operation and monitoring of FINRA’s trade reporting facilities including communications with member firms, vendors, exchanges, regulat...
Job Description Summary The Business Information Security Officer (BISO) liaises with our business units and serves as the primary point of contact between Information Security and our business units. Coverage for this o...
This position performs a variety of specific duties in support of the Office of Hearing Officers’ operations and functions, including applying analytical skills to assist the Hearing Officers and the parties and their co...
The Associate Principal Analyst has demonstrated a proficient level of competence in identifying risks, developing regulatory strategies to address those risks and managing teams to achieve the goals of the strategies. E...
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: This is a senior-level position reporting to a Risk Mo...
Job Description Summary The Principal Investigator is an advanced professional responsible for independently conducting and completing high risk and complex money laundering-related investigations that focus on detection...
The Principal Investigator is an advanced professional responsible for independently conducting and completing high risk and complex fraud-related investigations that focus on detection, investigation and mitigation of f...
The Associate Principal Business Analyst in Credentialing, Registration, Education and Disclosure Regulatory (CRED) Applications & Programs team is responsible for providing operational and functional application sup...
The Analyst in Regulatory Review & Disclosure (RR&D) is responsible for supporting operations by reviewing, analyzing, and processing regulatory filings, public records, disciplinary actions, criminal history inf...