Financial Industry Regulatory Authority (finra) jobs in Rockville, MD - 29 jobs

The Director: Product Management - Workday HCM leads a product team (typically 5-10) responsible for a specific product group. This role works with a high level of autonomy and discretion. Responsibilities include leading the team's research and product development efforts as well as implementation and execution of the product group strategy, as well as managing and developing their team members. This role develops a comprehensive product strategy, oversees the roadmap and backlog, and establishes the key performance indicators for a specific product group. In addition, the Director: Product Management - Workday HCM develops and presents detailed business cases to senior executives and leads business reviews to ensure that the team prioritizes the right work and delivers the most customer value in the fastest time possible. Although the director manages a team and its work on a set of products, they also may have responsibility for their own products and all strategic and tactical work associated with designing and delivering the products within scope of responsibility. People Management Continuously builds network of talent inside and outside of FINRA Demonstrates and differentiates performance bar across multiple levels and applies to hiring decisions Creates mechanisms to help onboard all new talent to organization, mentor others Effectively coaches and gives feedback to direct reports to help develop talent and support career development Works with cross-functional leaders and experts to establish best practices and identify opportunities to improve the product development and delivery process Sets and balances goals across team to optimize performance against organization goals and employee development Applies performance standards to team Identifies resource needs for team People Strategy Describes strategic importance of vision inside and outside of team Sets and articulates expectations around FINRA values and PM behaviors for team, models behavior and exemplifies FINRA values and PM behaviors Identify talent needs to enable execution of product strategy User Insight & Product Definition Develops deep understanding of the business and product areas across the product domain, as well as the relevant data that can be used to inform key decisions Defines multiple large, cross-functional and/or highly complex products, often spanning multiple product groups, and identifies gaps and user needs by creating vision, strategy, and requirements documents for products Utilizes available data or commissions new research to identify user needs Performs experiments and organizes primary research to uncover additional user value Provides strategic input into the process of defining a group of products across product domains, utilizing expertise on market trends to determine how to best meet user needs Product Portfolio Management Develops, manages, and owns the product roadmap for multiple large, cross functional and/or highly complex products Makes trade-off decisions for multiple products or product groups Demonstrates expertise across multiple products and understands company-wide assets which facilitates discovery and drives enterprise capabilities Builds partnerships with relevant stakeholder teams Coordinates with interdependent teams and influences leadership to drive efficiencies Builds and leverages solid working relationships with business and product stakeholders, UI/UX, architecture, and technology teams to facilitate product and user success Owns and participates in the intake process for their product domain Product Planning & Prioritization Leads the product planning process across multiple large, cross functional and/or highly complex products by overseeing and developing requirements documents (user stories, acceptance criteria, use cases) for products or product releases Maintains a prioritized backlog based on defined user value, aligning with product strategy and resource capacity; uses data and analytics to prioritize the product backlog appropriately Works closely with UI/UX to set the direction for the design of the user experience for their products Determines and monitors release goals, prioritization, implementation, and iteration plans for their products according to user value Resolves problems that are escalated during the process Collaborates with senior leadership to identify strategy that spans product groups; working with relevant stakeholders to identify barriers or potential long-term consequences of plans across product groups Product Development Facilitates the development process by reviewing demos with the technology team and validating acceptance criteria for multiple large, cross functional and/or highly complex products Provides UX/UI approval for their assigned products Tracks the development work and drives resolution of escalated issues and bugs for their products Identifies issues that will keep their products from delivering on time or at the right level of quality, assesses alternatives to resolve, builds a plan for resolution, and directly resolves or communicates to leadership Launch Leads large and often highly complex product launches by working with relevant stakeholders to develop launch plans Identifies, reviews, and resolves issues and blockers in partnership with team members that may delay the launch or impede the success of product(s) Coordinates formal UAT where necessary Develops product documentation and training materials for users in support of product launches Tracks and reports on product launch metrics, utilizing feedback to drive associated actions and product iteration Leads post-launch reviews and drives incorporation of feedback in future product releases Operate Works with internal and external teams and users to identify, classify, and resolve product and product group-level user issues Identifies new and innovative methods and metrics for tracking product success, works with the technology team to improve reports and monitoring Works with stakeholder teams to actively monitor metrics Tracks performance trends and gathers user feedback to determine product domain-level gaps, development opportunities, and if necessary, product end-of-life plans Represents team in product group-level discussions with stakeholders Attends business reviews, providing critical input and expert insights to inform the business cases, business strategy, and development of new products Builds and maintains relationships with key industry thought leaders to improve vision and improve product success Team Development & Continuous Improvement Provides coaching and guidance to more junior-level product management team members Works with cross-functional leaders and experts to establish best practices and identify opportunities to improve the product development and delivery process Follow, understand, and apply relevant industry trends, research, and best practices in technology and product management Builds and maintains relationships with key industry thought leaders to improve vision and improve product success 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: Additional responsibilities as assigned. Education/Experience Requirements: Minimum Qualifications Bachelor's Degree in Business, Marketing, Engineering, Communications, or related field (or equivalent work experience in a related field) 10 years of experience in one or more of the following: product management, project management, business analysis, program management, or product marketing 7 years of experience in product and/or experience management 5 years of leadership experience with direct report responsibility Prior product management experience with Workday HCM Strong writing ability Strong business acumen Experience with Agile software development Experience working cross-functionally in a large organization Experience working closely with senior leadership Experience translating data into quantifiable actions/deliverables Preferred Qualifications Master's Degree in Business Administration or similar advanced degree HCM Core or HCM Pro Workday Certifications CSPO Certification Experience in the Financial Services industry Strong financial acumen Experience collaborating closely with senior leadership Experience providing guidance and direction to cross-functional resources Working Conditions: Hybrid work environment, with defined in-person presence requirements. Extended hours may be required. 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 Salary $150,600, Maximum Salary $305,000 CO/FL/TX: Minimum Salary $131,100, Maximum Salary $254,000 IL*/PA: Minimum Salary $144,000, Maximum Salary $279,500 MA/MD/VA/Washington, DC: Minimum Salary $150,600, Maximum Salary $292,300 NY*/NJ: Minimum Salary $150,600, Maximum Salary $305,000 *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-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 ********************* into your browser to reach our site directly. 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. 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 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. 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. ©2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

The Office Manager in Corporate OGC (Corp. OGC) and the Ethics and Compliance Office (ECO) is an experienced individual contributor, who supports Corp. OGC and ECO by providing operational and administrative support. Must possess technical and administrative proficiency and strong interpersonal and communication skills. Essential Job Functions: * Provides effective and timely administrative and operational support to staff in Corp. OGC and ECO (and other departments within the Offices of Chief Legal Officer, as requested). * Assists with managing operations of the offices, ensuring seamless coordination across business units and with other FINRA departments. * Leverages systems and technology to increase efficiency and productivity of the offices, as well as simplifying processes and programs. * Works with officers to assist with management oversight of offices' budgets. * Processes and tracks expenditures, reviews operating expenses, and coordinates with Finance Department to resolve accounting inquiries. * Assists with maintaining and implementing policies specific to the business units (e.g., Records Retention, Information Privacy and Protection Policy, Business Continuity Plan). * Monitors and reports to the offices of any changes to procedures related to enterprise-wide initiatives (e.g., physical office space). * Arranges conferences, off-site meetings, and other events for business units, and prepares agendas, meeting notes, and minutes of these meetings. * Executes day-to-day responsibilities with direct supervision and answers inquiries related to intra-office communications and administrative policies and procedures. * 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: * High school diploma or equivalent and a minimum of five (5) years of related administrative experience. * Additional education or training preferred. * Proficient with utilizing full suite of Microsoft Office applications. * Expertise utilizing Zoom (scheduling, virtual meeting tools, etc.) or other virtual meeting software. * Experience providing high level administrative support to executive management. * Exceptional interpersonal and communication skills (both verbal and written). Working Conditions: * Hybrid work environment, with defined in-person presence requirements. * May require overtime, as well as flexibility of work hours. 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 $33.90, Maximum Hourly Rate $62.70 CO/FL/TX: Minimum Hourly Rate $29.48, Maximum Hourly Rate $52.26 IL*/PA: Minimum Hourly Rate $32.60, Maximum Hourly Rate $57.46 MA/MD/VA/Washington, DC: Minimum Hourly Rate $33.90, Maximum Hourly Rate $60.00 NY*/NJ: Minimum Hourly Rate $33.90, Maximum Hourly Rate $62.70 * 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-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 ********************* into your browser to reach our site directly. 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. 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 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. 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. 2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

The Senior Specialist, Corporate Real Estate plays a vital role in FINRA's Corporate Real Estate team by providing comprehensive facilities management, technical systems expertise, and operational coordination across FINRA locations. Under general direction of the Manager, Corporate Real Estate, the role combines hands-on facilities oversight with data management to ensure optimal workplace environments that support FINRA's regulatory mission. The role requires technical knowledge, strong vendor management skills, and excellent customer service skills to maintain efficient and effective workspaces. Essential Job Functions: * Facilities Operations - Ensure the coordination of maintenance, repair, and janitorial operations across FINRA locations by managing relationships with regional technicians, national vendors, and contractors. * Implement standardized inspection protocols and centralized service request systems to ensure consistent, timely resolution across the portfolio. * Space Planning & Systems Management - Maintain accurate space data in FM Systems, collaborate with architects and engineers on AutoCAD floor plans. * Coordinate office moves, additions, and changes including telecommunications and security requirements. * Financial Management & Budget Support * Support budget preparation across all facilities. * Process and code invoices with proper cost allocation and cross-site analysis. * Generate portfolio-wide occupancy reports and departmental chargebacks. * Identify cost-saving opportunities through economies of scale and standardization. * Vendor Relationship Management * Effectively manage multi-disciplinary vendor relationships. * Facilitate standardized vendor training on FINRA procedures and compliance standards, * Maintain insurance certificates and service agreements, and * Monitor performance delivery. * Multi-Site Property Management & Stakeholder Relations * Serve as liaison with landlords and property representatives. * Coordinate services between staff and contractors. * Serve as a contact for facilities inquiries and complaints. * Administrative & Emergency Response Support - Support property management across all locations, participate as first responder team member, and remain updated on and in adherence to Incident Response and Business Continuity plans. * Database Management & Reporting - Maintain standardized database structures and reports for all facilities, maintain facility records, and create automated data import routines as needed. * Training & Process Improvement - Support facilities management system training to corporate users across locations, document processes and procedures, research and implement industry best practices across the portfolio, and drive operational efficiency that benefit the entire facilities network. * 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 Facilities Management, Business Administration, or related field, or equivalent combination of education and relevant experience required. * Minimum five (5) years of experience in facilities management or corporate real estate. * Technical proficiency with facilities management software (FM Systems) and AutoCAD. * Strong knowledge of Microsoft Office products (Word, Excel, Outlook). * Experience with building systems and maintenance requirements. * Experience with lease administration, lease abstraction. * Strong financial acumen including budget tracking and invoice processing. * Excellent organizational and problem-solving abilities. * Outstanding communication and customer service skills. * Strong vendor management skills and experience coordinating vendors and service providers. * Ability to effectively coordinate multiple priorities in a professional environment. Work Conditions: * Full-time onsite presence in a FINRA office location required * Must be able to work outside of normal business hours and remain on-call 24 hours/day. * Some travel required. 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 $39.09, Maximum Hourly Rate $72.75 CO/FL/TX: Minimum Hourly Rate $33.95, Maximum Hourly Rate $60.58 IL*/PA: Minimum Hourly Rate $37.46, Maximum Hourly Rate $66.74 MA/MD/VA/Washington, DC: Minimum Hourly Rate $39.09, Maximum Hourly Rate $69.72 NY*/NJ: Minimum Hourly Rate $39.09, Maximum Hourly Rate $72.75 * 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-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 ********************* into your browser to reach our site directly. 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. 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 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. 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. 2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

The Senior Program Administrator provides high-level administrative and programmatic support to employees and senior executives within the Office of General Counsel (OGC) Regulatory Policy, Capital Markets, and Appellate offices. This role ensures the efficient operation of the offices' administrative processes, coordinates programs, maintains policies and procedures, and supports the continuous improvement of OGC's administrative and programmatic functions. Essential Job Functions: * Provide high-quality administrative support for OGC Regulation offices to ensure smooth day-to-day operations and availability of essential support to employees and leadership. Evaluate and refine organizational systems and workflows to enhance operational efficiency and effectiveness. * Plan and coordinate OGC programs, initiatives, and events. Oversee preparation of agendas, materials, logistics and follow-up for staff and regulatory meetings. * Prepare reports, presentations, and correspondence supporting regulatory processes and administrative functions. * Communicate effectively with OGC staff to ensure the clear, consistent, and timely flow of information. Facilitate on-demand access to information and resources. * Manage budget preparation, tracking, and expense reconciliation for OGC programs and activities. Negotiate and manage vendor contracts where needed. * Maintain OGC policies and procedures to ensure alignment with organizational standards and regulatory requirements. Communicate policy updates to staff and provide guidance on implementation and adherence. * Support strategic planning and goal setting in accordance with FINRA's culture of measurement and improvement. Assist OGC in tracking key operational measurements and achievement of objectives and key results. * Represent OGC in cross-departmental initiatives, committees, and working groups. Act as liaison with other departments and external organizations, as needed. * Oversee document management processes and technology support needs for OGC. Establish cross-departmental networks to maintain awareness of best practices and new capabilities. Champion OGC participation in reviews of innovative products and approaches. * 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 Business Administration, Legal Studies, or a related field (or equivalent experience), and a minimum of six years of experience in an administrative or program management role, preferably within a legal or regulatory environment. * Strong organizational and time-management skills with a proven ability to manage multiple priorities and deadlines. * Excellent written and oral communication skills. * Ability to work independently and collaboratively in a fast-paced environment. * Experience supporting senior executives or working within a legal or regulatory framework. * Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Outlook); experience with document management software preferred. * Prior participation in project(s) to adopt new technology solutions for administrative or program-specific functions preferred. Work Environment: * Hybrid work environment, with defined in-person presence requirements. * Occasional travel may be required. 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 $39.09, Maximum Hourly Rate $72.75 CO/FL/TX: Minimum Hourly Rate $33.95, Maximum Hourly Rate $60.58 IL*/PA: Minimum Hourly Rate $37.46, Maximum Hourly Rate $66.74 MA/MD/VA/Washington, DC: Minimum Hourly Rate $39.09, Maximum Hourly Rate $69.72 NY*/NJ: Minimum Hourly Rate $39.09, Maximum Hourly Rate $72.75 * 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-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 ********************* into your browser to reach our site directly. 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. 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 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. 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. 2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Render senior-level legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject matter resource in one or more areas of legal expertise. This is senior-level professional work in which incumbents are developing their roles, increasing their skills, assuming increased responsibility, and working under general guidance. Essential Job Functions: * With limited oversight, advise the Board of Governors and FINRA advisory committees with respect to complex and sensitive regulatory initiatives and rule changes under consideration by the Board. * Assist in briefing and communicating complex and sensitive regulatory initiatives to senior executives of FINRA. Must be able to provide such analysis under urgent deadlines. * Serve as a source of legal expertise within FINRA in many subject areas and provide expert advice on questions in these subject areas. * Prepare 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. * Review and draft new rule proposals with greater independence; gather and incorporate views of industry participants, other regulators, senior staff and other interested parties; and prepare rule filings to the SEC. * Work closely with Regulatory Economics and Market Analysis (REMA) in conducting economic impact assessments of rulemakings. * Together with senior-level OGC attorneys, meet with senior staff of SEC, industry groups and other interested parties concerning regulatory initiatives. * Represent FINRA before industry groups. * Prepare Regulatory Notices, rule guidance and other correspondence with member firms, their outside counsel and other interested parties. * Conduct and oversee 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. * 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. * Serve as liaison to FINRA advisory committees as assigned. * Keep abreast of and analyze SEC, industry and other self-regulatory organization initiatives, and develop and maintain strong working relationships with SEC staff and other regulators. * Attend and speak at regulatory policy public conferences and meetings of FINRA advisory committees on areas of subject matter expertise. * 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: * Lead or participate in ad hoc special projects and initiatives as requested. * Provide status reports of assigned matters or projects. * Develop communications as needed for Chief Legal Officer and other senior management. * Provide and implement suggestions to increase efficiency and effectiveness of office procedures. * Train and mentor other attorneys, regulatory analysts, legal assistants, and administrative assistants in OGC. 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 eight years of directly related legal experience. * Advanced 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. * Occasional travel and extended hours may be required. For work that is performed in CA, CO, FL, TX, IL, PA, MA, VA, MD, 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 Salary $150,600, Maximum Salary $305,000 CO, FL,TX: Minimum Salary $131,100 Maximum Salary $254,000 IL*/PA: Minimum Salary $144,000, Maximum Salary $279,500 MA/MD/VA/Washington, DC: Minimum Salary $150,600, Maximum Salary $292,300 NY*/NJ: Minimum Salary $150,600, Maximum Salary $305,000 * 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-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 ********************* into your browser to reach our site directly. 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. 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 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. 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. 2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Working independently, the Lead AI Engineer owns development of software products and works on improving the overall quality of the product throughout the software development life cycle and mentors other Software Engineers. Reports directly to a Director or Senior Director. Key Responsibilities AI Development & Implementation * Create and manage the AI development process and overall infrastructure for AI-powered products * Build AI models that generate accurate predictions at scale. This includes * Context optimization * Comprehensive evaluation * Transform machine learning models into APIs for seamless integration with other applications * Develop and maintain infrastructures for data transformation and ingestion Data Management & Analysis * Locate, extract, and pull data from diverse sources to support AI model development * Conduct comprehensive statistical analysis and interpret results to guide organizational decision-making * Automate critical infrastructure components for the data science team * Ensure data quality and integrity throughout the AI development pipeline Collaboration & Communication * Coordinate effectively with cross-functional team members, including data scientists, software engineers, and product managers * Explain the functionality and business value of AI models to stakeholders across various technical backgrounds * Collaborate with product teams to understand requirements and translate them into technical solutions * Present findings and recommendations to both technical and non-technical audiences Technical Infrastructure * Develop and maintain scalable AI infrastructure and deployment pipelines with a focus on leveraging GenAI APIs * Optimize model performance and ensure efficient resource utilization * Token optimization * Compute optimization * Cost optimization * Implement best practices for model versioning, testing, and monitoring * Stay current with emerging AI technologies and industry best practices Soft Skills * Strong analytical and problem-solving abilities * Excellent communication skills with ability to explain complex technical concepts * Collaborative mindset with experience working in cross-functional teams * Detail-oriented with strong project management capabilities * Continuous learning mindset to stay updated with rapidly evolving AI landscape * Expertise in popular gen AI frameworks and tools such as Strands, ADK, Deepeval, and AWS Agentcore. Education & Experience Requirements: * Bachelor's degree in Computer Science, Information Systems or related discipline with at least 7 years of related experience, or equivalent training and/or work experience * System design experience * Experience in object-oriented development * Experience with cloud technologies * Experience in data storage technologies * Experience in performance tuning and optimization * Experience in DevOps and CI\CD technologies * Experience test automation and unit testing * Experience software security 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 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 Salary $128,000, Maximum Salary $242,600 CO/FL/TX: Minimum Salary $111,400, Maximum Salary $202,100 IL*/PA: Minimum Salary $122,800, Maximum Salary $222,400 MA/MD/VA/Washington, DC: Minimum Salary $128,000, Maximum Salary $232,500 NY*/NJ: Minimum Salary $128,000, Maximum Salary $242,600 * 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. 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 ********************* into your browser to reach our site directly. 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. 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 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. 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. 2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

We Work to Protect Investors. Join our Team. 2026 Summer Internship Program 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. 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: This Intern will work with FINRA's cutting-edge technical teams gaining hands-on experience in projects that may include: Developing an understanding of FINRA technology approaches, tools and methodologies. Participating in project team meetings and provide status updates, as appropriate. Effectively communicating activities and findings in both oral and written formats. Education/Experience Requirements: Enrolled in the final two years of a Bachelor's Degree in Technology Management, Business Management, Computer Science (CS) Engineering, or related discipline Demonstrated ability to learn new concepts/techniques and apply knowledge Ability to maintain focus and develop proficiency in new skills rapidly Hands-on development experience with SQL/Python/Similar 3x week in office (Rockville, MD) For work that is performed in CA, CO, New York, NY and WA, the chart below outlines the proposed 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 $25.00, Maximum Hourly Rate $34.00 CO/HI/MN/VT*: Minimum Hourly Rate $23.00, Maximum Hourly Rate $32.00 IL*: Minimum Hourly Rate $23.00, Maximum Hourly Rate $32.00 Jersey City, NJ/NYC, NY: Minimum Hourly Rate $25.00, Maximum Hourly Rate $34.00 MA/WA: Minimum Hourly Rate $23.00, Maximum Hourly Rate $32.00 MD/Washington, DC: Minimum Hourly Rate $25.00, Maximum Hourly Rate $34.00 NJ: Minimum Hourly Rate $25.00, Maximum Hourly Rate $34.00 NY: Minimum Hourly Rate $25.00, Maximum Hourly Rate $34.00 #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 ********************* into your browser to reach our site directly. 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. 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 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. 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. ©2025 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: Hybrid work environment, with defined in-person presence requirements. 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 ********************* into your browser to reach our site directly. 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. 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 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. 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. ©2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

The Paralegal in the Litigation group of the Offices of the Chief Legal Officer assists in responding to information requests received by FINRA, its officers, and its employees, including third-party subpoenas issued in arbitration proceedings, and civil and criminal litigation cases. With direct supervision, the Paralegal also responds to requests for the certification of FINRA documents as business records. As needed, Paralegal provides other litigation or project support. Essential Job Functions: Assists attorneys to respond to subpoenas and other document requests, to include collecting, reviewing, and preparing documents for production. Drafts written communications regarding document and information requests. Prepares business records certifications. Assists attorneys to prepare and finalize legal briefs for filing. Maintains and tracks matter files in matter management system. 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: Bachelor's degree required and a minimum of two (2) years' experience as a paralegal. Paralegal Certificate a plus. Familiarity using a computer with the full suite of electronic office product applications, including Adobe, Microsoft Office, and other electronic office systems. Familiarity with electronic discovery review software. Review experience in Relativity preferred. Excellent planning, organization, and communication skills. Strong written and oral communication skills. Work Conditions: Hybrid work environment, with defined in-person presence requirements. Limited requirement to travel outside the local area. Overtime may be required. 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 $33.90, Maximum Hourly Rate $62.70 CO/FL/TX: Minimum Hourly Rate $29.48, Maximum Hourly Rate $52.26 IL*/PA: Minimum Hourly Rate $32.60, Maximum Hourly Rate $57.46 MA/MD/VA/Washington, DC: Minimum Hourly Rate $33.90, Maximum Hourly Rate $60.00 NY*/NJ: Minimum Hourly Rate $33.90, Maximum Hourly Rate $62.70 *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-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 ********************* into your browser to reach our site directly. 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. 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 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. 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. ©2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

The Lead Full-Stack GenAI Platform Software Engineer works independently and owns development of robust, scalable software solutions across the full stack, including backend APIs, frontend interfaces, and cloud infrastructure. This role is central to architecting and implementing a cutting-edge generative AI regulatory chat assistant. The Lead Software Engineer improves overall product quality throughout the software development lifecycle, guides team members in best practices and technical leadership, and helps identify and mitigate architectural risks. This position reports directly to a Director or Senior Director. Key Responsibilities: Architectural Leadership & Design Design and develop industry-leading solutions that meet defined quality standards, reliability specifications, and strategic objectives Lead the architecture of robust, scalable software solutions across the full stack, with strong focus on both backend services (FastAPI, Python) and frontend UI/UX (VueJS) Assist with architecting and developing cloud-native solutions leveraging AWS services, including Bedrock, S3, Fargate, Aurora, Lambda, Step Functions, and emerging technologies Collaborate on system architecture decisions and API design, ensuring secure, performant, and maintainable patterns Demonstrate solid understanding of systems and processes within the job area and recommend improvements Engineering Excellence & Quality Design and implement high-performance, secure APIs using FastAPI and Python, establishing patterns that the team replicates Guide the team in industry-leading practices for software development, code quality, system design, and test automation Excellent understanding of computer science fundamentals, including algorithm design, problem solving, complexity analysis and data structures Lead implementation of comprehensive test strategies, including unit testing, integration testing, and end-to-end testing methodologies; champion test-driven development (TDD) practices and automated testing frameworks DevOps & Infrastructure Assist with implementing and maintaining CI/CD pipelines, fostering a strong DevOps culture within the team Help identify gaps between system components and designs and delivers solutions that enable team autonomy Take broad perspective to infrastructure problems and exercises independent judgment in selecting techniques and evaluation criteria to obtain results Develop actionable insights from analyzing software development trends and software engineering best practices, communicating integration recommendations to management Mentorship & Cultural Leadership Mentor and guide less experienced team members in techniques, processes, and best practices for full-stack development, API design, and system architecture Coach and train colleagues in how to write clean, maintainable, secure code and how to think systemically about software design Champion collaborative resolution of defects and lead or co-lead internal process improvement initiatives Provide feedback on processes by offering suggestions in line with FINRA's values of collaboration, expertise, innovation, and responsibility Product & Stakeholder Collaboration Work on complex features requiring strong knowledge of generative AI industry practices Partner within and across teams meet shared goals and priorities Openly share progress and priorities with key stakeholders, communicating complex or technical information at the right level Contribute proactively to the full product development lifecycle, from ideation through deployment Generative AI & Emerging Technologies Develop and refine the system's integration with large language models (LLMs) and generative AI technologies as they evolve Design secure patterns for handling sensitive data within AI-powered workflows, ensuring compliance with regulatory requirements Identify innovative applications of AI/LLM capabilities to improve system functionality and user experience Stays informed of advances in LLM technologies, frameworks (e.g., Google ADK), and optimization approaches Security & Compliance Ensure all work products meet or exceed FINRA and team standards for secure development practices Assist with adherence to technology policies and comply with all security controls Lead secure coding practices and threat modeling for API and infrastructure components Ensure secure handling of personally identifiable information (PII) and sensitive regulatory data throughout the development lifecycle Education/Experience Requirements: Bachelor's degree in Computer Science, Information Systems or related discipline with at least 7 years of related experience, or equivalent training and/or work experience. Strong system design experience Strong experience in object-oriented development Strong experience with cloud technologies Strong experience in data storage technologies Strong experience in performance tuning and optimization Strong experience in DevOps and CI\CD technologies Strong experience test automation and unit testing Strong experience software security Working Conditions: Hybrid work environment, with defined in-person presence requirements. Hybrid work environment, with defined in-person presence requirements. Occasional travel and extended hours may be required. 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 Salary $128,000, Maximum Salary $242,600 CO/FL/TX: Minimum Salary $111,400, Maximum Salary $202,100 IL*/PA: Minimum Salary $122,800, Maximum Salary $222,400 MA/MD/VA/Washington, DC: Minimum Salary $128,000, Maximum Salary $232,500 NY*/NJ: Minimum Salary $128,000, Maximum Salary $242,600 *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-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 ********************* into your browser to reach our site directly. 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. 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 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. 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. ©2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

The Specialist, Corporate Real Estate serves as a frontline resource supporting FINRA's hybrid workplace model and facilities operations. Under general direction of the manager, this role supports workspace management with comprehensive facilities coordination to ensure seamless workplace experiences for staff and visitors across assigned location(s). As an integral member of the Corporate Real Estate team, the Specialist contributes directly to workplace efficiency and employee satisfaction across FINRA locations. Essential Job Functions: Workspace & Reservation System Management Manage hotel reservation system and resolve workspace booking issues for assigned location(s); Utilize excellent customer service skills to troubleshoot space/facility navigation and reservation process issues and provide timely guidance to employees and visitors at all levels, in a professional and client-focused manner. Conference Center Operations - Manage and maintain conference rooms and meeting spaces to ensure professional, well-organized areas; ensure equipment functionality and room readiness with minimal supervision. Facilities Service Coordination - Process and coordinate facility service requests through FM Interact system; liaise with contractors, building management, and internal staff to resolve issues. Vendor & Contractor Management - Support oversight of vendor maintenance activities and ensure compliance with FINRA procedures; maintain vendor documentation, insurance certificates, and maintenance schedules. Administrative & Procurement Operations - Process invoices, purchase requisitions, and staff relocation coordination; manage regional supply inventory and ordering processes. Asset & Inventory Control - Track equipment locations, serial numbers, and building operation supplies; coordinate with maintenance personnel on inventory management. Documentation & Compliance - Maintain organized facility records, work orders, and vendor documentation; ensure adherence to established facilities procedures and policies. Performance Analysis & Reporting - Monitor and document workspace utilization and facility performance metrics; prepare status reports on facilities operations and system effectiveness. Work autonomously on routine tasks while escalating complex issues appropriately. 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: Associate's degree or higher in Business Administration, Facility Management, or related field; or equivalent combination of education and related experience required. Minimum four (4) years of experience in facilities coordination, administrative support, or customer service. Experience with reservation systems and facilities management software. Strong knowledge of Microsoft Office Suite (Word, Excel, Outlook). Excellent organizational skills with attention to detail. Outstanding communication and customer service skills. Professional demeanor and ability to interact effectively with all levels of staff. Problem-solving skills with proven ability to make independent decisions within established guidelines and procedures. Ability to effectively coordinate multiple priorities in a professional environment. Experience with procurement processes and vendor coordination preferred. Work Conditions: Full-time onsite presence in a FINRA office location required. Must be able to work outside of normal business hours and remain on-call 24 hours/day. Some travel may be required. 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 $33.90, Maximum Hourly Rate $62.70 CO/FL/TX: Minimum Hourly Rate $29.48, Maximum Hourly Rate $52.26 IL*/PA: Minimum Hourly Rate $32.60, Maximum Hourly Rate $57.46 MA/MD/VA/Washington, DC: Minimum Hourly Rate $33.90, Maximum Hourly Rate $60.00 NY*/NJ: Minimum Hourly Rate $33.90, Maximum Hourly Rate $62.70 *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-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 ********************* into your browser to reach our site directly. 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. 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 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. 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. ©2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

We Work to Protect Investors. Join our Team. 2026 Summer Internship Program We are seeking interns for the following locations ONLY: Rockville, MD; New York, NY and Chicago, IL 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.. 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. Possible activities and responsibilities include: * Assisting investigators and managers with the investigative processes. * Analysis of surveillance alerts, trade data and other evidence obtained in connection with Financial Crimes investigations. * Learning how to determine member firm regulatory compliance. * Assisting in reviewing and analyzing customer complaints and investigations. * Assisting with reviewing, analyzing, and comparing documents and information on firm finances, policies, procedures, practices, and products to security industry rules, regulations and guidelines. * Assisting in preparing memoranda and reports regarding investigations. * Collecting, preparing and itemizing exhibits for reports of investigations. * Assisting in collecting historical pricing data utilizing market trade data and prepare FINRA's examination schedules. * Performing research on various matters. Other Responsibilities Education/Experience * Enrollment in the final two years of degree program in Finance, Accounting, Business Administration or related program. * 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, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, 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. For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, 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 $25.00, Maximum Hourly Rate $34.00 CO/HI/MN/VT*: Minimum Hourly Rate $23.00, Maximum Hourly Rate $32.00 IL*: Minimum Hourly Rate $23.00, Maximum Hourly Rate $32.00 Jersey City, NJ/NYC, NY: Minimum Hourly Rate $25.00, Maximum Hourly Rate $34.00 MA/WA: Minimum Hourly Rate $23.00, Maximum Hourly Rate $32.00 MD/Washington, DC: Minimum Hourly Rate $25.00, Maximum Hourly Rate $34.00 NJ: Minimum Hourly Rate $25.00, Maximum Hourly Rate $34.00 NY: Minimum Hourly Rate $25.00, Maximum Hourly Rate $34.00 * 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 ********************* into your browser to reach our site directly. 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. 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 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. 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. 2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

This Retail Firm Grouping conducts examinations of FINRA member firms that primarily provide brokerage services or effect transactions on behalf of an individual customer or an account whose ultimate beneficial owner(s) would be deemed an individual. The FinTech Sub-Grouping focuses on conducting examinations of member firms that leverage emerging technologies to provide innovative investment solutions. Essential Job Functions: * Directs examination activities to achieve strategic initiatives for the department and serves as a primary point of contact for internal stakeholders for examination activities. * Manages a team of examiners and empowers them to make decisions relating to the completion of exams. Builds and integrates the culture of intelligence, integrity, collaboration and initiative into team goals and decisions. * Provide strategic guidance, advice and support to Member Supervision leadership. * Provides guidance to staff, management and external parties on high-level issues. * Manages operational aspects of the exam including, but not limited to, budget, performance, workflow and compliance. Ensures that all aspects of the exams achieve goals within established timelines and budgets, as well as broader organizational strategic goals. * Collaborates and regularly coordinates with Risk Monitoring counterparts to ensure strategic focuses are addressed accordingly. * Develops relationships with other Examination leaders and Risk Monitoring counterparts to provide feedback, share trends and patterns, and identify opportunities for program improvements. * Accountable for effectively managing performance and prioritizing meaningful development conversations. * Ensures that the Program serves FINRA's mission in an efficient and effective manner. * Presents at conferences and participates in outreach to member firms and investors. * 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: * Assist as needed, with scheduling and staffing of exams while ensuring that policies and procedures are followed during exams. * Other duties as assigned. Education/Experience Requirements: * Bachelor's Degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Business Administration or related fields preferred. * MBA, JD, other graduate degree and/or relevant industry certification(s) preferred * Significant securities, compliance or financial regulatory experience * Significant experience managing projects and/or people Knowledge Requirements: * Advanced knowledge of FINRA's risk fundamentals * Advanced knowledge of securities rules and regulations * Advanced knowledge of firm business models, business lines, customer bases, products and services * Advanced knowledge of rule changes and interpretations * Advanced knowledge of industry wide events and trends affecting FINRA's exam program * Advanced knowledge of FINRA departments and their mandates Skill Requirement: * Proficient in optimizing resource allocation * Expert ability to recognize and understand the relationship and impact between regulatory areas * Expert ability to manage time effectively and complete examination plans within the budgeted time frames * Expert ability to effectively liaise with internal and external parties * Expert ability to identify and prioritize risk * Expert ability to develop, inspire, and motivate direct reports * Expert ability in talent recognition and coaching * Expert relationship building skills * Expert ability to make timely decisions Working Conditions: * Hybrid work environment, with defined in-person presence requirements 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 Salary $150,600, Maximum Salary $305,000 CO/FL/TX: Minimum Salary $131,100, Maximum Salary $254,000 IL*/PA: Minimum Salary $144,000, Maximum Salary $279,500 MA/MD/VA/Washington, DC: Minimum Salary $150,600, Maximum Salary $292,300 NY*/NJ: Minimum Salary $150,600, Maximum Salary $305,000 * 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-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 ********************* into your browser to reach our site directly. 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. 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 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. 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. 2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

The Principal Analyst in Transparency Services Equities is responsible for monitoring and responding to real-time trade report and data dissemination issues. This role coordinates multiple internal teams (e.g., FINRA Market Operations, FINRA Client & System Management, etc.) and external parties (e.g., TRF Business Members, SEC staff, firms, etc.) to respond to emergencies and events. This role analyzes trade data and trading events to make recommendations to senior leadership to meet SEC requirements. This position is an experienced individual contributor in Business Analytics, who works independently with minimal supervision. Essential Job Functions: * Monitors trade reporting integrity for regulatory compliance. * Facilitates compliance with Transparency Services Reg SCI requirements. * Conducts complex data analysis to identify trends, patterns, and insights that can be used to inform business decisions. * Designs and implements data collection methods and tools to advance optimal business analytics processes. * Determines key performance indicators and develops methods to effectively measure and track them on a regular basis. * Coaches more junior colleagues in techniques, processes, and responsibilities. * Demonstrates FINRA's values. * Collaborates, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity. Other Responsibilities: * Leads multi-level initiatives across the organization. * Provides subject matter expertise in regulatory area to advance FINRA and industry initiatives (e.g., LULD Plan, rule filings, market events, congressional testimony preparation, etc.) * Remains current on industry trends, practices, and regulatory impacts Education/Experience Requirements: * Bachelor's Degree and a minimum of seven (7) years of experience in finance, compliance, or a related field. * Knowledge of, and experience with, the regulation and operation of U.S. broker-dealers, as well as familiarity with the broader landscape of financial regulation. Experience with securities market structure issues, associated data, regulations and/or market surveillance business processes is required. * Demonstrates advanced proficiency in financial services data analysis, with expertise in leveraging both internal and third-party vendor data sources to drive strategic insights. * Proven track record of developing sophisticated executive-level reporting that translates complex metrics and data analytics into clear, actionable strategic intelligence. * Superior organization and time management skills with proven ability to prioritize and execute against multiple projects simultaneously under tight deadlines, while maintaining outstanding attention to detail and customer service. * Exceptional verbal and written communication skills to work with all levels directly to resolve issues. * Exceptional ability to operate autonomously in dynamic, unstructured environments, consistently demonstrating strategic problem-solving, risk-informed decision-making, and proactive program innovation. Working Conditions: * Hybrid work environment, with defined in-person presence requirements. * This individual will be working on a 4am-12pm shft * Extended hours may be required. * Travel will be required, as necessary. 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 Salary $109,600, Maximum Salary $206,200 CO/FL/TX: Minimum Salary $95,300, Maximum Salary $171,800 IL*/PA: Minimum Salary $104,900, Maximum Salary $189,400 MA/MD/VA/Washington, DC: Minimum Salary $109,600 Maximum Salary $197,600 NY*/NJ: Minimum Salary $109,600, Maximum Salary $206,200 * 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-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 ********************* into your browser to reach our site directly. 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. 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 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. 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. 2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

At FINRA, we're not just looking for someone to run our travel program - we're looking for someone to transform it, and lead it into the future. As the Corporate Travel Director, you'll be the go-to expert to shape, modernize, and optimize how FINRA's employees travel. This role will be responsible for developing and managing FINRA's travel program. This role bridges internal business requirements with external travel service providers, with a strong focus on policy adherence, duty of care, cost control, and traveler satisfaction. This role will define and lead the future of FINRA's corporate travel program, shaping the supplier base, setting preferred partners across air, hotel, and ground transport, and ensuring effective travel operations. If you thrive in matrixed organizations, are a confident negotiator, and have a the ability to turn ideas into action, this role will give you the autonomy to make a lasting impact. Essential Job Functions: * Develop FINRA travel policy and procedures to include authorship, benchmarking against best practices, and on-going modifications based on industry changes, changes to compliance standards, and FINRA internal business practices. * Act as liaison for FINRA to Travel Management Company (TMC), Technology, and all suppliers. * Negotiate preferred rates and terms with airlines and hotels. Manage UATP (Universal Air Travel Program), car rental companies, and other travel vendors to maximize value. This includes rate loading oversight, communications plan, cost/benefit of FINRA preferred vendor program to agency program. * Manage the overall travel budget, analyze spending patterns, and identify opportunities for cost savings. * Develop and implement automated first level program support processes; responsible for FINRA Help Desk escalations, process exceptions. Field complaints and interact with FINRA travelers daily. Liaise with TMC to support travelers. Support board members travelling to FINRA meetings. * Ensure all business travel adheres to company policies and regulatory requirements, working closely with the TMC. * Collaborate with the meeting planning department to coordinate group travel arrangements for company events and meetings. * Implement and manage travel booking systems, expense reporting tools, and other travel-related technologies. Develop SLA monitoring, KPI's, and reporting for all aspects of the program. Monitor and provide reports on program performance to identify trends and areas for improvement. * Oversee the development and distribution of critical communications, including travel alerts, system availability notifications, and industry engagement initiatives. * Train employees on travel policies, booking tools, and expense reporting processes. * Stay current on industry trends, travel regulations, and best practices to continuously improve the travel program. Attend industry training programs. * Lead vendor and technology assessments for enterprise travel solutions by conducting comprehensive due diligence on travel-related technology platforms, including booking engines, Global Distribution System (GDS) strategies, mid-office quality control solutions, reporting and analytics tools, event management systems (Cvent), crisis management platforms, automated expense management solutions, and meetings management software. * Manage end-to-end travel management Request for Proposal (RFP) process including requirements definition, vendor assessment and strategic sourcing decisions and implementation. For a regulatory organization like FINRA, a travel management RFP would include compliance requirements, audit capabilities, and specific reporting needs to support regulatory oversight functions. * Serve as the primary owner for the TMCs management daily. * Demonstrate FINRA's values. * Collaborate, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity. Education/Experience Requirements: * Bachelor's degree in business administration, tourism or travel management, hospitality, or a related field. * 10+ years of experience in travel agency or corporate travel management, preferably at a fortune 500 company, financial services organization or in a regulated industry. * Certification in Corporate Travel CCTE, required. * Proven track record of developing and implementing successful travel programs. * Excellent negotiation, communication, problem-solving, multitasking, analytical skills and customer service skills. * Proficiency in travel booking systems (GDS) expense management software, and data analysis tools. * Familiarity with East Coast travel market share (NYC/DC) and Amtrak. * Ability to work collaboratively with cross-functional teams and manage multiple priorities. * Adaptable to changing business needs and able to provide creative solutions. * Strong computer skills, especially in Microsoft Forms and various booking/expense systems. Work Conditions: * Position is considered essential during travel emergency, weather alerts, and crisis circumstances, requiring the ability to work beyond standard business hours when needed. * Hybrid work environment, with defined in-person presence requirements. * Extended hours and overnight travel as needed. 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 Salary $150,600, Maximum Salary $305,000 CO/FL/TX: Minimum Salary $131,100, Maximum Salary $254,000 IL*/PA: Minimum Salary $144,000, Maximum Salary $279,500 MA/MD/VA/Washington, DC: Minimum Salary $150,600, Maximum Salary $292,300 NY*/NJ: Minimum Salary $150,600, Maximum Salary $305,000 * 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-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 ********************* into your browser to reach our site directly. 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. 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 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. 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. 2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Render senior-level legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject matter resource in one or more areas of legal expertise. This is senior-level professional work in which incumbents are developing their roles, increasing their skills, assuming increased responsibility, and working under general guidance. Essential Job Functions: * With limited oversight, advise the Board of Governors and FINRA advisory committees with respect to complex and sensitive regulatory initiatives and rule changes under consideration by the Board. * Assist in briefing and communicating complex and sensitive regulatory initiatives to senior executives of FINRA. Must be able to provide such analysis under urgent deadlines. * Serve as a source of legal expertise within FINRA in many subject areas and provide expert advice on questions in these subject areas. * Prepare 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. * Review and draft new rule proposals with greater independence; gather and incorporate views of industry participants, other regulators, senior staff and other interested parties; and prepare rule filings to the SEC. * Work closely with Regulatory Economics and Market Analysis (REMA) in conducting economic impact assessments of rulemakings. * Together with senior-level OGC attorneys, meet with senior staff of SEC, industry groups and other interested parties concerning regulatory initiatives. * Represent FINRA before industry groups. * Prepare Regulatory Notices, rule guidance and other correspondence with member firms, their outside counsel and other interested parties. * Conduct and oversee 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. * 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. * Serve as liaison to FINRA advisory committees as assigned. * Keep abreast of and analyze SEC, industry and other self-regulatory organization initiatives, and develop and maintain strong working relationships with SEC staff and other regulators. * Attend and speak at regulatory policy public conferences and meetings of FINRA advisory committees on areas of subject matter expertise. * 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: * Lead or participate in ad hoc special projects and initiatives as requested. * Provide status reports of assigned matters or projects. * Develop communications as needed for Chief Legal Officer and other senior management. * Provide and implement suggestions to increase efficiency and effectiveness of office procedures. * Train and mentor other attorneys, regulatory analysts, legal assistants, and administrative assistants in OGC. 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 eight years of directly related legal experience. * Advanced 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. * Occasional travel and extended hours may be required. For work that is performed in CA, CO, FL, TX, IL, PA, MA, VA, MD, 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 Salary $150,600, Maximum Salary $305,000 CO, FL,TX: Minimum Salary $131,100 Maximum Salary $254,000 IL*/PA: Minimum Salary $144,000, Maximum Salary $279,500 MA/MD/VA/Washington, DC: Minimum Salary $150,600, Maximum Salary $292,300 NY*/NJ: Minimum Salary $150,600, Maximum Salary $305,000 * 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-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 ********************* into your browser to reach our site directly. 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. 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 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. 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. 2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

The Senior Full-Stack GenAI Platform Developer contribute to the development of robust, scalable software solutions across the full stack-from backend APIs to frontend interfaces to cloud infrastructure-supporting a cutting-edge generative AI regulatory chat assistant. Working under minimal supervision, the Senior Developer will develop, test, debug, and document software components with strong technical expertise, working in close collaboration with more senior development staff and peers. This role emphasizes autonomous feature delivery, technical depth in assigned areas, and readiness to learn and master new technologies and methodologies in support of a fast-paced, product-focused engineering effort. Key Responsibilities Full-Stack Development & Technical Contribution Contribute to frontend development using VueJS, being proactive, vigilant, and passionate about delivering a seamless user experience Build scalable cloud-native components leveraging AWS services, including Bedrock, S3, Fargate, Aurora, Lambda, and Step Functions Review and analyze complex process, system, and/or data requirements and specifications to inform implementation Quality and Testing Excellence Develop and execute comprehensive test strategies, including unit testing, integration testing, and end-to-end testing methodologies Implement test-driven development (TDD) practices and extend automated testing to ensure code reliability Champion the collaborative resolution of defects, working closely with peers to understand root causes and prevent recurrence Ensure all work products meet or exceed FINRA and team standards for code quality, performance, and security DevOps & Infrastructure Contribute to implementing and maintaining CI/CD pipelines, leveraging Jenkins and version control systems (Git) Assist with architecting and developing cloud-native solutions, gaining hands-on experience with AWS deployment patterns Identify opportunities to improve development infrastructure and processes, offering suggestions to technical leadership Work effectively with containerization (Docker) and understand orchestration principles Collaboration & Communication Interface with team members in peer review of requirements, specifications, and software Document and communicate development status in a timely manner, including metric reporting and technical findings Serve as a strong peer reviewer, providing constructive feedback on code and design decisions Demonstrate ability to develop effective working relationships with teammates and cross-functional collaborators Communicate technical concepts clearly to both technical and non-technical stakeholders Generative AI & Emerging Technologies Contribute to the integration of large language models (LLMs) and generative AI technologies into the platform Implement secure patterns for handling sensitive data within AI-powered workflows, maintaining compliance with regulatory requirements Stay informed of advances in LLM frameworks (LangChain, LangGraph), optimization approaches (LiteLLM Proxy), and emerging AI capabilities Participate in design and code reviews that incorporate AI/LLM considerations Security & Compliance Assist with adherence to technology policies and comply with all security controls Implement secure coding practices, particularly in handling personally identifiable information (PII) and sensitive regulatory data Participate in threat modeling and security discussions for API and infrastructure components Understand and apply FINRA's security standards and best practices for regulated financial environments Continuous Learning & Growth Maintain focus and develop proficiency in new skills rapidly, including Python, FastAPI, AWS services, VueJS, and emerging frameworks Actively seek feedback and mentorship from senior technical leaders Demonstrate curiosity and passion for learning new technologies, methodologies, and industry practices Assist in creating software engineering strategies that help identify and mitigate risks Education/Experience Requirements: Bachelor's degree in Computer Science, Information Systems or related discipline with at least five (5) years of related experience, or equivalent training and / or work experience. Demonstrated technical expertise in Object Oriented and database technologies / concepts which resulted in deployment of enterprise quality solutions. Past experience with developing enterprise quality solutions in an iterative or Agile environment. Knowledge of industry leading software engineering approaches including Test Automation, Build Automation and Configuration Management frameworks. Strong written and verbal technical communication skills. Demonstrated ability to develop effective working relationships that improved the quality of work products. Should be well organized, thorough, and able to handle competing priorities. Ability to maintain focus and develop proficiency in new skills rapidly. Ability to work in a fast paced environment. 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 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 Salary $109,600, Maximum Salary $206,200 CO/FL/TX: Minimum Salary $95,300, Maximum Salary $171,800 IL*/PA: Minimum Salary $104,900, Maximum Salary $189,400 MA/MD/VA/Washington, DC: Minimum Salary $109,600 Maximum Salary $197,600 NY*/NJ: Minimum Salary $109,600, Maximum Salary $206,200 *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-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 ********************* into your browser to reach our site directly. 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. 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 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. 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. ©2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

The Senior Program Administrator provides high-level administrative and programmatic support to employees and senior executives within the Office of General Counsel (OGC) Regulatory Policy, Capital Markets, and Appellate offices. This role ensures the efficient operation of the offices' administrative processes, coordinates programs, maintains policies and procedures, and supports the continuous improvement of OGC's administrative and programmatic functions. Essential Job Functions: * Provide high-quality administrative support for OGC Regulation offices to ensure smooth day-to-day operations and availability of essential support to employees and leadership. Evaluate and refine organizational systems and workflows to enhance operational efficiency and effectiveness. * Plan and coordinate OGC programs, initiatives, and events. Oversee preparation of agendas, materials, logistics and follow-up for staff and regulatory meetings. * Prepare reports, presentations, and correspondence supporting regulatory processes and administrative functions. * Communicate effectively with OGC staff to ensure the clear, consistent, and timely flow of information. Facilitate on-demand access to information and resources. * Manage budget preparation, tracking, and expense reconciliation for OGC programs and activities. Negotiate and manage vendor contracts where needed. * Maintain OGC policies and procedures to ensure alignment with organizational standards and regulatory requirements. Communicate policy updates to staff and provide guidance on implementation and adherence. * Support strategic planning and goal setting in accordance with FINRA's culture of measurement and improvement. Assist OGC in tracking key operational measurements and achievement of objectives and key results. * Represent OGC in cross-departmental initiatives, committees, and working groups. Act as liaison with other departments and external organizations, as needed. * Oversee document management processes and technology support needs for OGC. Establish cross-departmental networks to maintain awareness of best practices and new capabilities. Champion OGC participation in reviews of innovative products and approaches. * 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 Business Administration, Legal Studies, or a related field (or equivalent experience), and a minimum of six years of experience in an administrative or program management role, preferably within a legal or regulatory environment. * Strong organizational and time-management skills with a proven ability to manage multiple priorities and deadlines. * Excellent written and oral communication skills. * Ability to work independently and collaboratively in a fast-paced environment. * Experience supporting senior executives or working within a legal or regulatory framework. * Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Outlook); experience with document management software preferred. * Prior participation in project(s) to adopt new technology solutions for administrative or program-specific functions preferred. Work Environment: * Hybrid work environment, with defined in-person presence requirements. * Occasional travel may be required. 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 $39.09, Maximum Hourly Rate $72.75 CO/FL/TX: Minimum Hourly Rate $33.95, Maximum Hourly Rate $60.58 IL*/PA: Minimum Hourly Rate $37.46, Maximum Hourly Rate $66.74 MA/MD/VA/Washington, DC: Minimum Hourly Rate $39.09, Maximum Hourly Rate $69.72 NY*/NJ: Minimum Hourly Rate $39.09, Maximum Hourly Rate $72.75 * 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-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 ********************* into your browser to reach our site directly. 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. 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 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. 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. 2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

The Senior Principal Analyst, Corporate Real Estate reports to the Senior Director, Corporate Real Estate (CRE) and is a critical position in helping to drive overall CRE strategy. This position is responsible for analyzing nationwide real estate needs and trends, applying subject-matter expertise to shape FINRA's workplace strategy, and deliver insights that guide CRE leadership on long-range strategic forecasting. Additionally, this role manages the enterprise lease management program, $40+ million annual rent expense, and partners closely with external brokers to evaluate shifting market conditions across all regions. Responsible for partnering with Finance and CRE to oversee building operations month-end close, budget, forecasts, and variance analysis. The Senior Principal Analyst develops, elevates, and operationalizes management reporting and KPI frameworks for key stakeholders and senior leadership, ensuring visibility into performance, trends, and opportunities for optimization of the department. This is an experienced individual contributor role and expected to work under limited supervision.Essential Job Functions: Leads strategic analysis, recommendations, and decision support across CRE that enable senior leaders to make portfolio decisions aligned with FINRA's evolving workplace and workforce strategy. Manages enterprise impact assessments tied to workplace strategy initiatives, identify and recommend early action opportunities. Develops forecasting models that drive organizational decision-making; establishes comprehensive KPI frameworks aligned with corporate workplace strategy; and delivers strategic recommendations with measurable business impact to senior leadership. Manages the financial oversight of corporate real estate capital initiatives, coordinating with internal teams and external project managers to ensure projects are delivered on budget and aligned with organizational objectives. Oversees all corporate-wide lease matters. Leads impact-analysis and lease recommendations for FINRA's workplace strategy. Partners with Finance and Corporate Real Estate to oversee the building operations month-end close, budget, forecasts, and variance analyses. Responsible for analyzing lease agreements with economic modeling, including total occupancy cost analyses incorporating tenant improvement allowances, and other rent concessions to evaluate total rents of multiple potential locations. Ensure key milestone dates, such as early termination and extension notices, etc. and monitor lease compliance are accurately tracked by third party brokerage group. Serve as the primary contact for operating expense reconciliations leases and third-party audit vendor; as well as provide annual ‘desk audit' for no less than two leases per year. Manages, owns, and develops various executive management reports, including the CRE Dashboard, and serve as primary contact on CRE data for Management Committee. Provide guidance to team members on financial and procurement matters related to the department. Leads review of recommended sole-source requirements and conducts market analyses. Selects appropriate method of procurement (i.e. simplified acquisition procedures, sealed bidding, negotiations). 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 Finance, Business Administration, or related field, or a combination of education and relevant work experience. Minimum of nine (9) years of relevant work experience. Corporate real estate experience highly preferred. Excellent analytical and project management skills. Proficiency with PowerBI or similar reporting tool, Excel, and PowerPoint. Proven ability to work autonomously, while operating in a fully collaborative environment, to influence and achieve desired outcomes, at all levels of the organization. Strong oral and written communication skills. Strong knowledge of MS Office Suite. Experience with various real estate software such as FM Systems, a facilities management application, preferred. Working Conditions: Hybrid work environment, with defined in-person presence requirements. Extended hours and travel, as needed. 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 Salary $128,000, Maximum Salary $242,600 CO/FL/TX: Minimum Salary $111,400, Maximum Salary $202,100 IL*/PA: Minimum Salary $122,800, Maximum Salary $222,400 MA/MD/VA/Washington, DC: Minimum Salary $128,000, Maximum Salary $232,500 NY*/NJ: Minimum Salary $128,000, Maximum Salary $242,600 *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-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 ********************* into your browser to reach our site directly. 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. 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 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 ************ or by email at ***************************. Please note that this process is exclusively for inquiries regarding application accommodations. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. 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. ©2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.