FINRA

• Working as a virtual member and operational point of contact for advisors’ offices and providing task ownership, support, and coordination with other Commonwealth departments • Collaborating with various internal operational teams across the firm to research and resolve complex issues • Managing client data in Commonwealth’s CRM platform to create and distribute reports, prepare for client meetings and calls, and create procedure workflows • Submitting money movement requests and working with partner departments to resolve issues • Monitoring alerts and advisor action items and proactively collaborating on responses to time-sensitive requests • Building relationships by consistently providing the highest level of customer service • Collaborating with Sponsor Companies to research and obtain required documents • Use our account opening platform to open and update accounts, prepare documents, and send DocuSign documents to clients

Title: Director, Enterprise and Financial Solutions Strategic Operations Job Description: locations Rockville, MD (Job Posting) Washington, DC (Job Posting) Chicago, IL (Job Posting) New York, NY (Job Posting) Tysons, VA (Job Posting) Los Angeles, CA (Job Posting) time type Full time job requisition id R-009857 The Director, EFS Strategic Operations role is a critical position supporting the Enterprise and Financial Solutions (EFS) department. This role is responsible for managing a portfolio of large-scale departmental operational projects and is accountable for tracking and progress reporting to the Chief of Staff. The Director identifies opportunities for streamlining and improving operations to maximize efficiency and effectiveness. This includes providing strategic and operational leadership to facilitate the optimal running of the department and the services it provides to its stakeholders. The Director also works closely with the Chief of Staff and the senior leadership team to implement and maintain programs that facilitate EFS staff’s compliance with its obligations and manages programmatic risk. Essential Job Functions: - Oversees the day-to-day centralized operational functions for EFS. - Serves as a trusted advisor to the Chief of Staff and EFS leaders. Effectively communicates and make decisions on behalf of the Chief of Staff as appropriate. - Leads strategic, cross-functional projects and initiatives that advance departmental operations in support of FINRA's strategic goals. Maintains accountability for tracking, progress reporting, and timely delivery to the Chief of Staff and senior leadership. Provides thought leadership and ensures alignment of cross-program efforts with the strategic vision and broader objectives of EFS. - Understands, triages, and addresses a wide range of complex and often novel operational matters. Contributes knowledge, conducts background analysis, and provides recommendations for resolution. - Enhances collaboration by partnering with appropriate stakeholders to remove obstacles and drive decision making in support of EFS and FINRA strategic goals. Key areas of engagement include strategic partnership, challenging the status quo, and escalating risks and issues. - Leads engagement with key internal stakeholders including Finance, Office of General Counsel/Oversight and Compliance, Internal Audit, and People Solutions to ensure business initiatives are supported. Additionally serves as a central resource for EFS including, but not limited to, the following areas: - Budget and Headcount Management: Oversees EFS budget and expense management functions, including the development and tracking of operational budgets, analysis of budget variances, headcount and resource allocations, and research and implementation of cost savings measures, to ensure budget spend is aligned with EFS and FINRA strategic goals. - Communications, Culture, Meetings and Events: Facilitates regular department meetings, including planning and execution of conference agendas, leadership meetings, and department-wide events. Creates communications and materials for executive/senior management, board presentations, and departmental audiences. - Policies and Procedures: Oversees the development and maintenance of departmental procedures relating to operational efficiency and effectiveness in collaboration with functional leaders. - Records and Information Management: Leads EFS records management, including department-wide compliance with FINRA Information Privacy and Protection Policy, serving as department information owner, and participating in FINRA-wide Records Management Board. - Training and Development: Coordinates training initiatives for the department with internal FINRA and external resources; collaborates closely with the Chief of Staff and senior leadership team to develop new training curriculum and implement cost-effective delivery methods. - Drives operational efficiency initiatives in the above-listed areas, identifying process improvements, and implementing solutions. - Demonstration of FINRA’s values. - Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity. Other Responsibilities: - Other duties and special projects as assigned. Education/Experience Requirements: - Bachelor’s degree and a minimum of ten (10) years’ experience in the financial services industry or regulation at FINRA or other financial services regulator in positions of increasing responsibilities; or an equivalent combination of education and experience. - Advanced degree preferred. - Experience managing diverse operational functions, including staffing, budgeting, and executing high-level meetings/events preferred. Direct experience in driving organizational change and operational excellence. - Direct experience working with senior stakeholders across different business functions. - Direct experience writing communications and presentations for leadership and non-leadership audiences. - Proven record of making timely, risk-based decisions impacting the department. Skills Requirements: - Advanced knowledge and technical skills related to project management, including ability to manage multiple complex projects concurrently, adapt to changing priorities, and execute against tight deadlines in multiple areas with varying requirements. - Advanced verbal, written, and organizational skills. - Strong oral and written communication skills, with an ability to effectively articulate matters with a high degree of complexity across teams and organizations. - Strong collaborator and team builder with excellent interpersonal skills that can engage and influence all levels of leadership. - Advanced critical thinking, research, problem-solving, and analytical skills. - Strong attention to detail and ability to maintain confidentiality. - Extensive knowledge and understanding of organizational issues and challenges. Working Conditions: - Hybrid work environment, with defined in-person presence requirements. - Work environment includes high productivity expectations and tight deadlines. - Extended hours and overnight travel as required. For work that is performed in Los Angeles and San Francisco, CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, 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. Los Angeles, CA: Minimum Salary $123,175, Maximum Salary $184,762 San Francisco, CA: Minimum Salary $129,358, Maximum Salary $194,037 CO/FL/TX: Minimum Salary $134,400, Maximum Salary $260,400 IL/PA: Minimum Salary $147,600, Maximum Salary $286,500 MA/MD/VA/Washington, DC: Minimum Salary $154,400, Maximum Salary $299,600 NY/NJ: Minimum Salary $154,400, Maximum Salary $312,600 #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 of 15 days of paid time off, 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. 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. FINRA is an Equal Opportunity Employer All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law. FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s Employee Relations team or by email. Please note that this process is exclusively for inquiries regarding accommodations in the application process. FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities. FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans. ©2026 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Title: Principal Counsel, Regulatory locations - Washington, DC (Job Posting) - Jersey City, NJ (Job Posting) - Jericho, NY (Job Posting) - Woodbridge, NJ (Job Posting) - Rockville, MD (Job Posting) - New York, NY (Job Posting) - Tysons, VA (Job Posting) time type Full time job requisition id R-009851 The Principal Counsel in Office of General Counsel (OGC), Regulatory Policy renders legal advice and support in connection with the complete life cycle of new regulatory initiatives and serves as subject matter resource in one or more areas of legal expertise. This position is an experienced individual contributor who demonstrates increasing subject matter expertise and independence. Essential Job Functions: - Assists in providing advice to the Board of Governors and FINRA advisory committees with respect to regulatory initiatives and rule changes under consideration by the Board. - Assists in briefing and communicating regulatory initiatives to senior executives of FINRA. Must be able to provide such analysis under urgent deadlines. - Serves as a source of legal expertise within FINRA in subject areas and provides advice on questions in these subject areas. - Prepares Board materials that contain sophisticated analyses and discussions of competing policy or political considerations necessary for the informed judgment of the issues by the Board. - Reviews and drafts new rule proposals, with increased independence; gathers and incorporates views of industry participants, other regulators, senior staff and other interested parties; and prepares rule filings to the SEC. - Works with Regulatory Economics and Market Analysis (REMA) in conducting economic impact assessments of rulemakings. - Participates in meetings with senior staff of SEC, industry groups and other interested parties concerning regulatory initiatives. - Presents at regulatory policy public conferences and meetings of FINRA advisory committees on areas of subject matter expertise, as required. - Prepares Regulatory Notices, rule guidance and other correspondence with member firms, their outside counsel and other interested parties. - Conducts legal and other research into matters of regulatory policy as necessary to (1) develop rule proposals and to respond to internal and external comments, and (2) respond to interpretive and exemptive requests. - Collaborates across OGC to identify and present original, creative, innovative and sophisticated solutions and proposals for changes to existing rules, including the elimination or reduction of unnecessary regulation and the adoption of new rules. - Keeps abreast of and analyzes SEC, industry and other self-regulatory organization initiatives, and develops and maintains strong working relationships with SEC staff and other regulators. - Demonstrates FINRA’s values. - Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity. Education/Experience Requirements: - A law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements. - A minimum of six (6) years of directly related legal experience. - Advanced working knowledge of laws, rules, and regulations governing the securities industry. - Strong organizational skills. - Excellent oral and written communication skills. - Excellent judgment, analytical, and interpersonal skills. Work Conditions: - Hybrid work environment, with defined in-person presence requirements. - Occasional travel and extended hours may be required. For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, 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. CO/FL/TX: Minimum Salary $114,200, Maximum Salary $207,200 IL/PA: Minimum Salary $125,900, Maximum Salary $228,000 MA/MD/VA/Washington, DC: Minimum Salary $131,200, Maximum Salary $238,300 NY/NJ: Minimum Salary $131,200, Maximum Salary $248,700 #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 of 15 days of paid time off, 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. 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. FINRA is an Equal Opportunity Employer All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law. FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s Employee Relations team at 240-386-4865 or by email at EmployeeRelations@FINRA.org. Please note that this process is exclusively for inquiries regarding accommodations in the application process. FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities. FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans. ©2026 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Software Engineer Location: Tysons, VA (Job Posting) Full time job requisition id R-009847 Job Description: Under general supervision, the Software Engineer assists in developing software products and works on improving the overall quality of the product throughout the software development life cycle. Essential Job Functions: - Works on problems of moderate scope where analysis of situations requires a variety of known actors. - Receives general instruction on work and exercises judgement within defined procedures and practices to determine appropriate action. - Influences others within one's specific area of responsibility. - Develops basic Applies foundational knowledge and focuses on enhancing capabilities with respect to systems and processes within a job-specific area - Writes code that captures the essential nature of the solution and is appropriately flexible, reusable, efficient, and adaptable to changing requirements. - Ensures completion of tasks and quality of work; supports peers to ensure the team delivers consistently - Understanding in computer science fundamentals - Algorithm design, Problem solving, Complexity analysis and data structures. Engineering/Operations Excellence: - Analyzes the system to determine the properties and functions of each piece of work - Builds tools and produce technical documentation to improve developer efficiency and drive alignment within my team - Ensures actions and problem solving align with team level goals - Adapts to business change and seeks out new learning opportunities - Recommends viable alternatives when faced with shifting priorities - Build productive internal and/or external working relationships to resolve mutual problems - Shares with teammates within own area of knowledge/expertise, presenting relevant information in a logical and timely manner - Proactively acknowledges the importance of perspectives and supports appropriately - Identifies and connects with others who can help them succeed - Demonstration of FINRA's values. - Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity. Education/Experience Requirements: - Bachelor's degree in Computer Science, Information Systems or related discipline, or equivalent training and/or work experience. - Academic experience in object-oriented development - Academic experience in data storage technologies - Understanding of DevOps and CI\CD technologies - Understanding of test automation and unit testing Working Conditions: - Hybrid work environment, with defined in-person presence requirements. - Occasional travel and extended hours may be required. For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, 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. CO/FL/TX: Minimum Salary $72,400, Maximum Salary $129,200 IL/PA: Minimum Salary $79,800, Maximum Salary $142,300 MA/MD/VA/Washington, DC: Minimum Salary $83,300, Maximum Salary $148,600 NY/NJ: Minimum Salary $83,300, Maximum Salary $155,100 #LI-DNI 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 of 15 days of paid time off, 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. 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. FINRA is an Equal Opportunity Employer All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law. FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240-386-4865 or by email at EmployeeRelations@FINRA.org. Please note that this process is exclusively for inquiries regarding accommodations in the application process. FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities. FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

Title: Associate Principal Analyst, Risk Monitoring - All Finra Locations Location: New York United States locations New York, NY (Job Posting) Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Rockville, MD (Job Posting) Woodbridge, NJ (Job Posting) time type Full time Job Description: About FINRA FINRA is dedicated to protecting investors and ensuring market integrity. As an independent, not-for-profit organization, we oversee brokerage firms and exchange markets, writing and enforcing rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the United States. Every day, we work to safeguard the investing public against fraud and bad practices, making us a vital force in maintaining trust and fairness in America's financial markets. The Opportunity Join our team as a Risk Monitoring Analyst and play a pivotal role in safeguarding investors and maintaining market integrity. In this dynamic mid-level position, you'll conduct sophisticated risk assessments of FINRA member firms, identify emerging threats to the financial system, and mentor the next generation of regulatory professionals. Working closely with a Risk Monitoring Director, you'll have the opportunity to make a real impact by analyzing complex firm operations, collaborating across departments, and contributing to strategic initiatives that protect millions of investors. What You'll Do - Monitor Complex Firms: Conduct comprehensive risk monitoring of member firms, including those with elevated risk profiles, ensuring thorough oversight and regulatory compliance - Drive Strategic Intelligence: Collaborate across departments to analyze regulatory trends, communicate critical findings, and develop actionable recommendations that shape our supervisory approach - Lead and Mentor: Guide entry-level staff through coaching and mentorship while taking on leadership roles in special projects and technology initiatives - Execute Team-Based Monitoring: Work collaboratively with specialists and cross-functional teams to develop and implement risk-based monitoring strategies for your assigned portfolio - Innovate and Problem-Solve: Tackle unstructured, complex assignments that require independent judgment, creativity, and a solutions-oriented mindset - Embody FINRA Values: Demonstrate our commitment to collaboration, integrity, and excellence in both virtual and in-person settings Required Qualifications Education & Experience: - Bachelor's degree in Finance, Accounting, Business, or related field (or equivalent combination of education and experience) - Proven analytical experience in the financial industry, including the ability to interpret regulatory developments and apply them to complex business models - Demonstrated experience with at least one key industry risk area (e.g., Fraud and Deception, Money Laundering, Market Risk) Knowledge: - Intermediate understanding of FINRA's risk fundamentals - Intermediate knowledge of securities rules and regulations - Intermediate knowledge of firm business models, business lines, customer bases, products, and services - Basic knowledge of U.S. GAAP accounting standards Skills: - Strong written and verbal communication abilities - Intermediate financial analysis and research capabilities - Intermediate-to-advanced proficiency in analyzing internal and external data to assess firm risks and develop regulatory responses - Ability to manage multiple complex, concurrent assignments with autonomy - Intermediate proficiency in Microsoft Excel and Microsoft Word - Strong quantitative, analytical, and problem-solving skills with the ability to synthesize large volumes of information - Proven ability to engage effectively with senior management and collaborate across departments and locations Preferred Qualifications - Graduate degree (MBA or JD) - Relevant industry certifications (e.g., CFA, CFE, CAMS, Series licenses) What Makes You a Great Fit You're proactive, innovative, and energized by collaborative environments where ideas flow freely. You thrive when presented with complex challenges that require both analytical rigor and creative problem-solving. You're passionate about financial regulation and investor protection, and you're excited to contribute to a mission that makes a real difference in people's financial lives. Ready to protect investors and strengthen market integrity? Join us in this rewarding career opportunity where your expertise will help shape the future of financial regulation. Work Environment Enjoy the flexibility of a hybrid work model with defined in-person collaboration requirements, allowing you to balance focused independent work with meaningful team engagement. For work that is performed in Los Angeles and San Francisco, CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, 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. Los Angeles, CA: Minimum Salary $96,600, Maximum Salary $127,814 San Francisco, CA: Minimum Salary $100,800, Maximum Salary $133,372 CO/FL/TX: Minimum Salary $83,900, Maximum Salary $150,300 IL/PA: Minimum Salary $92,400, Maximum Salary $165,300 MA/MD/VA/Washington, DC: Minimum Salary $96,600, Maximum Salary $172,800 NY/NJ: Minimum Salary $96,600, Maximum Salary $180,400 #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 of 15 days of paid time off, 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. 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. FINRA is an Equal Opportunity Employer All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law. FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240-386-4865 or by email at EmployeeRelations@FINRA.org. Please note that this process is exclusively for inquiries regarding accommodations in the application process. FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities. FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans. 2026 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in the securities industry with an employer that places a high value on the professional and personal growth of our employees. We set the bar high – we are looking for interns that are strong academically, can bring results, and are committed to exceeding expectations. We need you to represent the highest standards of personal integrity and organizational values. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, then consider an Internship with FINRA Essential Job Functions: - Achieve an understanding and working knowledge of FINRA's role and responsibilities in the securities industry. - Assist with basic tasks and projects. - Compile and organize information from a variety of sources - Demonstration of FINRA’s values. - Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity. Education/Experience Requirements: - Enrollment in the final two years of degree program in Finance, Accounting, Business Administration - Work experience in a financial, brokerage or investment environment is a plus. - Strong work ethic, positive attitude and professional demeanor. - Ability to work with others to meet deadlines. - Proficiency in Microsoft Office. - Ability to perform multiple tasks efficiently and accurately. Work Conditions: - Work may be required to be performed in an office or remote For work that is performed in CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. 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 internal peer compensation comparisons. CA: Minimum Hourly Rate $22.00, Maximum Hourly Rate $31.00 CO/FL/TX: Minimum Hourly Rate $20.00, Maximum Hourly Rate $29.00 IL*/PA: Minimum Hourly Rate $20.00, Maximum Hourly Rate $29.00 MA/MD/VA/Washington, DC: Minimum Hourly Rate $22.00, Maximum Hourly Rate $31.00 NY*/NJ: Minimum Hourly Rate $22.00, Maximum Hourly Rate $31.00 *Including positions performed outside the state but reporting to an office or manager in that state. Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA. #LI-DNI 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 of 15 days of paid time off, 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. 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. FINRA is an Equal Opportunity Employer All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law. FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s Employee Relations team at 240-386-4865 or by email at EmployeeRelations@FINRA.org. Please note that this process is exclusively for inquiries regarding accommodations in the application process. FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities. FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans. ©2026 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.