Essential Job Functions:

• Monitors intra-day trading across FINRA trade reporting facilities through system-generated alerts and phone and email inquiries independently resolving routine matters and conferring with senior staff and subject matter experts for guidance on complex or novel issues.
• Delivers strong customer service by responding to inquiries from member firms, SROs, other FINRA departments, and vendors. Maintains relevant databases that support the operation of the marketplace.
• Maintains accurate and thorough documentation of all alert review activities.
• Presents matters to senior leadership through clear, well-organized written summaries that support informed decision-making and ensure timely resolution of reviews.
• May assist junior analysts on routine operational matters and day-to-day workflows as needed.
• Applies regulatory knowledge in evaluating requests supporting FINRA's mission to maintain market integrity and investor protection.
• Demonstrates FINRA's values.
• Collaborates, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.

Other Responsibilities:

• Contributes to the development and enhancement of section policies and procedures.

• Participates in the development and testing of analytics tools and operational methodologies that improve the efficiency and effectiveness of the team’s processes.
• Remains current on industry trends, practices and regulatory impacts.

Education/Experience Requirements:

• Bachelor's degree, preferably in Finance, Economics, or Business, and a minimum of three (3) years of experience in the securities/financial services industry, or financial markets operations or regulatory environment; or an equivalent combination of education and related professional experience.
• Working knowledge of FINRA and other SRO rules as well as the Securities Exchange Act of 1934 and the rules and regulations thereunder.
• Ability to identify potential securities rule violations.
• Analytical and critical thinking skills with attention to detail.
• Ability to work independently.
• Written and verbal communication skills, including ability to prepare clear, concise reports and presentations for leadership.
• Organizational skills with ability to manage multiple tasks, deadlines, and priorities simultaneously.
• Experience with financial systems and databases preferred.

Working Conditions:

• Hybrid work environment, with hours with defined in-person requirements.
• Hours may extend beyond normal business hours.

For work that is performed in CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations. 

Boston, MA: $83,300 - $148,600

Chicago, IL: $79,800 - $142,300

Denver, CO: $72,400 - $129,200

Jericho, NY: $83,300 - $148,600

Jersey City, NJ: $86,800 - $155,100

Philadelphia, PA: $79,800 - $142,300

New York, NY: $86,800 - $155,100

Rockville, MD: $83,300 - $148,600

Tysons, VA: $83,300 - $148,600

Washington, DC: $83,300 - $148,600

Woodbridge, NJ: $83,300 - $148,600

Connecticut State: $72,400 - $155,100

Washington State: $72,400 - $155,100

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program starting at 15 days of paid time off (increasing with years of service, up to 25 days), 5 personal days, and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Washington state applicants: click here for required notice(s).

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.