Financial Industry Regulatory Authority
Washington, District of Columbia
FINRA, the self-regulator of broker-dealers, protects investors, promotes capital formation and safeguards the markets – all at no cost to American taxpayers. Only the official, verified social media accounts for FINRA are authorized to represent FINRA’s views. Any opinions or statements expressed on other accounts do not reflect the views of the organization.
Hybrid · Quinte West
The role involves leading the design and implementation of complex data-driven solutions for regulatory surveillance and market conduct investigations. The analyst will utilize machine learning and statistical techniques to generate insights from large-scale datasets to improve surveillance programs.
Hybrid · Quinte West
Legal externs assist Enforcement attorneys and investigators in researching and determining potential violations of federal securities laws and FINRA rules. They also perform document reviews, assist in preparing for testimony, and observe interviews and settlement negotiations.
Hybrid · Quinte West
Acts as a strategic advisor on market structure and Regulatory Service Agreements (RSA) to guide senior leadership on regulatory developments. Coordinates cross-functional policy implementation and represents the organization in high-level regulatory forums and strategic initiatives.
Hybrid
The Director, MAP, Custody, Trading, & Markets is responsible for oversight of the membership application process relating to matters filed with FINRA, which includes new and continuing membership applications, materiality consultations, two principal waivers, and membership agreement updates. This is a senior-level professional position providing operational leadership for management of the program, supervising analysts of all levels, defining assigned roles, increasing staff skills, and providing the staff with expert guidance on escalated matters. The Director will also collaborate on inte…
On-site
The Strategy, Data & Tech Senior Director Program Delivery Lead is a strategic leader responsible for establishing and executing the muti-year program and portfolio delivery strategy for RegOps. This role manages the Program Delivery team to deliver transformative Regulatory Operations initiatives, objectives, key results, and deliverables, in collaboration with the business sponsors, owners, subject matter experts, Technology, the Enterprise Strategy Group (ESG), and other key stakeholders. This role is accountable for (1) establishing communications strategic vison regarding key initiatives…
