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

The Senior Director - Data Management Governance Office reports directly to the Chief Data Officer (CDO) and serves as a key strategic advisor on all matters related to data governance across the enterprise. This senior leadership position is instrumental in driving the strategic direction of FINRA's data governance initiatives, ensuring that the organization's data assets are properly managed as valuable organizational resources that support our regulatory mission. This role uniquely combines strategic leadership with hands-on implementation expertise to build and sustain a comprehensive data governance framework to enhance data quality, ensure compliance with data governance standards across the enterprise, and establish FINRA as a leader in regulatory data management practices. This role requires deep knowledge of data governance frameworks, methodologies, and industry best practices, coupled with a demonstrated ability to translate strategic vision into actionable plans that deliver measurable business value. Essential Job Functions: Strategic Leadership & Advisory * Partner closely with the CDO to lead development of FINRA's enterprise data governance strategy, ensuring alignment with organizational objectives and regulatory mission. * Serve as a trusted advisor to the CDO and executive leadership on data governance matters, emerging trends, industry best practices, and regulatory requirements. * Build and own the comprehensive roadmap for data governance initiatives across the organization. * Establish and monitor key performance indicators and metrics to measure the effectiveness and business value of data governance initiatives. Governance Operations & Collaboration * Lead and manage the FINRA Data Governance Council, facilitating cross-functional collaboration, decision-making, and accountability. * Strategically partner with Legal, Compliance, Risk Management, and Audit teams to ensure integrated approach to data governance matters. * Build and maintain partnerships across organizational boundaries to drive consensus and adoption of governance standards. Change Management & Enablement * Lead development of comprehensive communication strategies to promote data governance awareness and foster a data-driven culture across the organization. * Build targeted data governance training programs for various stakeholder groups at all organizational levels. * Lead enterprise-wide change management initiatives associated with implementing new data governance processes, policies, and tools. * Drive organizational adoption of data governance practices through influence and collaboration. Team Leadership * Build, develop, and lead a high-performing team of data governance professionals. * Mentor and develop team members to build organizational capability in data governance. * Foster a culture of excellence, innovation, and continuous improvement within the data governance function. * 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 Information Management, Business Administration, Data Management, Finance, or related field required; Master's degree or certifications (CDMP, DGSP) preferred. * 12+ years of progressive experience in data governance, data management, or related disciplines, including 7+ years leading teams and programs in complex, matrixed organizations. * Financial services or regulated industry experience with deep understanding of compliance and regulatory frameworks. * Proven success implementing or transforming enterprise data governance programs in regulated industries, preferably financial services. * Deep expertise in data governance frameworks, methodologies, and best practices. * Strong understanding of financial markets, securities regulation, and regulatory landscape. * Expert-level knowledge of data quality, metadata management, data architecture, and data privacy. * Outstanding communication skills to articulate complex technical concepts to diverse audiences, including executives. * Strong influencing and negotiation skills to drive consensus across organizational boundaries. * Change management expertise to facilitate adoption of new practices and technologies. * Executive presence with ability to build credibility and trust with senior leadership. * Collaborative leadership style with success building strategic partnerships. * Strategic thinking with hands-on execution capability. 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 Salary $177,100, Maximum Salary $361,700 CO/FL/TX: Minimum Salary $154,100, Maximum Salary $301,400 IL*/PA: Minimum Salary $169,400, Maximum Salary $331,900 MA/MD/VA/Washington, DC: Minimum Salary $177,100, Maximum Salary $346,700 NY*/NJ: Minimum Salary $177,100, Maximum Salary $361,700 * 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.

FINRA Enforcement Associates, Honors Program make meaningful contributions to Enforcement's investigations of and decisions about whether to bring disciplinary actions against individuals and firms in the financial industry. Honors Associates gain substantive hands-on legal experience that develops their lawyering skills in investigating, litigating and writing. They also gain specialized knowledge about the financial industry and participate in a robust legal, financial and leadership training program. This is an entry-level position that works under the supervision of more senior attorneys, investigators, Directors and Chief Counsels. Honors Associates work on variety of discrete projects as they move through rotations in the Enforcement Legal and Investigations groups. Essential Job Functions: Honors Associates work directly with more senior attorneys and investigators on investigations and litigations to provide high-level support throughout all phases of Enforcement matters. Duties include: * Performing substantive and procedural legal and sanctions research, and drafting summaries of each, in support of more senior attorneys. * Reviewing case files for evidence that supports legal findings, including sworn testimony, electronic communications and trade blotters. * Proposing types and categories of evidence to collect through requests for information and documentation. * Organizing and synthesizing evidence and creating and making oral presentations of factual findings to more senior attorneys. * Drafting written summaries of factual findings. * Proposing questions and exhibits for and attending interviews (both sworn and informal) with customers and industry personnel. * Drafting sections of legal documents, including charging recommendation memos, settlement documents, complaints and pre-hearing briefs in support of more senior attorneys and investigators. * Proposing investigative and legal strategies for consideration by more senior attorneys. * Supporting litigation teams in hearing preparation by gathering documents for production and participating in efforts by more senior attorneys to identify potential witnesses, exhibits and lines of questioning for direct and cross examinations. * Utilizing computer resources and software applications for data and information analysis pursuant to department procedures. * 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: * Assists with other projects as assigned. Education/Experience Requirements: * Recent graduate of a J.D. or L.L.M. program. * Excellent interpersonal, organizational, and written and oral communication skills are essential. * Strong work ethic, positive attitude and professional demeanor. Strong analysis and research skills. * Should be thorough and able to handle competing priorities. * Should have ability to work with others to meet deadlines. * Should be proactive; solutions-oriented; innovative; collaborative and motivated to learn new skills. * Securities law related course work and/or knowledge of securities law or brokerage regulations are not required, but preferred. Work Conditions: * Hybrid work environment, with defined in-person presence requirements. * Extended hours may be required. Please apply with: * Resume * Writing sample * Unofficial law school transcript * Cover letter Other Information: * It is required to pass the Bar in order to be eligible to continue in the Honors Program beyond the first year of the Program. * To be eligible for a attorney position at FINRA after completion of the two year Honors Program, candidates must have successfully performed the responsibilities of the Honors Associate, have a law degree and be appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing 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 of $81,300, Maximum Salary $151,300 CO/FL/TX: Minimum Salary $70,600, Maximum Salary $126,000 IL*/PA: Minimum Salary $77,900, Maximum Salary $138,800 MA/MD/VA/Washington DC: Minimum Salary $81,300, Maximum Salary $145,000 NY*/NJ: Minimum Salary $81,300, Maximum Salary $151,300 * 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. #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.

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 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.

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.

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 Senior Director is a key member of the Market Oversight Surveillance and Market Intelligence section's leadership team and is responsible for the effective generation and progression of regulatory reviews conducted by the section. This role communicates and innovates with peers across the organization to facilitate sharing of surveillance intelligence to improve our ability to meet FINRA's mission. The function of this role is to ensure that member firms are complying with applicable rules and regulations. This role administers directives and policies established by Market Oversight (MO) to ensure the effective and efficient functioning of assigned teams. Essential Job Functions; Directs teams of managers and individual contributors and is accountable for meaningful career development conversations and regular coaching and feedback. Directs their team's operations and strategic objectives, demonstrates advanced expertise of the work in their specific area and has an advanced understanding of a broader scope of work in adjacent teams. Leads the execution of the surveillance program to ensure progress toward the organization's goals and objectives. Contributes to business objectives by designing and implementing effective measures to manage surveillance matters. Communicates strategically with People Solutions and work area management to identify core training needs, subsequently establishing structure and requirements to successfully deliver comprehensive training. Directs special projects, surveys, and technology initiatives that can potentially have an impact on Surveillance. Manages the review and analysis of regulatory intelligence received through a variety of sources, including internal sources, regulatory tips, customer complaints, firm regulatory filings, and referrals from other regulators. Continually monitors for program risks and suggests the development of solutions. Manages tactical and operational aspects of their team (e.g., performance and compliance), as well as ensuring achievement of team goals within broader organizational strategy. Ensures that all regulatory requests are fulfilled in a timely and accurate manner. Represents FINRA in internal/external meetings and speaking engagements. Demonstrates FINRA's values of Responsibility, Innovation, Collaboration and Expertise in interactions with colleagues, management, FINRA members, and outside parties. Monitors and implements solutions to achieve the section's measures of 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: Represents FINRA at speaking engagements with various internal and external constituencies. Lead multi-level initiatives across Regulatory Operations. Provides subject matter expertise in regulatory area to advance FINRA and industry initiatives (e.g., CAT, Notice to Members, rule filings, market events, congressional testimony preparation). Remains current on industry trends, practices, and regulatory impacts. Education/Experience Requirements: Bachelor's degree and a minimum of ten (10) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities. Minimum five (5) years supervisory experience required. Demonstrated project management, process improvement, understanding of surveillance development lifecycle and goal attainment skills. Extensive working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder. Experience with investigations involving potential securities rule violations. Demonstrated ability to lead regulatory programs and produce outstanding measurable results. Requires excellent written and verbal communications skills, including interpersonal and presentation skills. Strong organizational skills and excellent attention to detail. Working Conditions: Hybrid work environment, with defined in-person presence requirements. Hours may extend beyond normal business hours. 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 $177,100, Maximum Salary $361,700 CO/FL/TX: Minimum Salary $154,100, Maximum Salary $301,400 IL*/PA: Minimum Salary $169,400, Maximum Salary $331,900 MA/MD/VA/Washington DC: Minimum Salary $177,100, Maximum Salary $346,700 NY*/NJ: Minimum Salary $177,100, Maximum Salary $ 361,700 *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.

FINRA Enforcement Associates, Honors Program make meaningful contributions to Enforcement's investigations of and decisions about whether to bring disciplinary actions against individuals and firms in the financial industry. Honors Associates gain substantive hands-on legal experience that develops their lawyering skills in investigating, litigating and writing. They also gain specialized knowledge about the financial industry and participate in a robust legal, financial and leadership training program. This is an entry-level position that works under the supervision of more senior attorneys, investigators, Directors and Chief Counsels. Honors Associates work on variety of discrete projects as they move through rotations in the Enforcement Legal and Investigations groups. Essential Job Functions: Honors Associates work directly with more senior attorneys and investigators on investigations and litigations to provide high-level support throughout all phases of Enforcement matters. Duties include: * Performing substantive and procedural legal and sanctions research, and drafting summaries of each, in support of more senior attorneys. * Reviewing case files for evidence that supports legal findings, including sworn testimony, electronic communications and trade blotters. * Proposing types and categories of evidence to collect through requests for information and documentation. * Organizing and synthesizing evidence and creating and making oral presentations of factual findings to more senior attorneys. * Drafting written summaries of factual findings. * Proposing questions and exhibits for and attending interviews (both sworn and informal) with customers and industry personnel. * Drafting sections of legal documents, including charging recommendation memos, settlement documents, complaints and pre-hearing briefs in support of more senior attorneys and investigators. * Proposing investigative and legal strategies for consideration by more senior attorneys. * Supporting litigation teams in hearing preparation by gathering documents for production and participating in efforts by more senior attorneys to identify potential witnesses, exhibits and lines of questioning for direct and cross examinations. * Utilizing computer resources and software applications for data and information analysis pursuant to department procedures. * 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: * Assists with other projects as assigned. Education/Experience Requirements: * Recent graduate of a J.D. or L.L.M. program. * Excellent interpersonal, organizational, and written and oral communication skills are essential. * Strong work ethic, positive attitude and professional demeanor. Strong analysis and research skills. * Should be thorough and able to handle competing priorities. * Should have ability to work with others to meet deadlines. * Should be proactive; solutions-oriented; innovative; collaborative and motivated to learn new skills. * Securities law related course work and/or knowledge of securities law or brokerage regulations are not required, but preferred. Work Conditions: * Hybrid work environment, with defined in-person presence requirements. * Extended hours may be required. Please apply with: * Resume * Writing sample * Unofficial law school transcript * Cover letter Other Information: * It is required to pass the Bar in order to be eligible to continue in the Honors Program beyond the first year of the Program. * To be eligible for a attorney position at FINRA after completion of the two year Honors Program, candidates must have successfully performed the responsibilities of the Honors Associate, have a law degree and be appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing 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 of $81,300, Maximum Salary $151,300 CO/FL/TX: Minimum Salary $70,600, Maximum Salary $126,000 IL*/PA: Minimum Salary $77,900, Maximum Salary $138,800 MA/MD/VA/Washington DC: Minimum Salary $81,300, Maximum Salary $145,000 NY*/NJ: Minimum Salary $81,300, Maximum Salary $151,300 * 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. #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 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.

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.

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, including with respect to arbitration and mediation. 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, including with respect to arbitration and mediation. * 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, including with respect to arbitration and mediation. * 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 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 Senior Director - Data Management Governance Office reports directly to the Chief Data Officer (CDO) and serves as a key strategic advisor on all matters related to data governance across the enterprise. This senior leadership position is instrumental in driving the strategic direction of FINRA's data governance initiatives, ensuring that the organization's data assets are properly managed as valuable organizational resources that support our regulatory mission. This role uniquely combines strategic leadership with hands-on implementation expertise to build and sustain a comprehensive data governance framework to enhance data quality, ensure compliance with data governance standards across the enterprise, and establish FINRA as a leader in regulatory data management practices. This role requires deep knowledge of data governance frameworks, methodologies, and industry best practices, coupled with a demonstrated ability to translate strategic vision into actionable plans that deliver measurable business value. Essential Job Functions: Strategic Leadership & Advisory Partner closely with the CDO to lead development of FINRA's enterprise data governance strategy, ensuring alignment with organizational objectives and regulatory mission. Serve as a trusted advisor to the CDO and executive leadership on data governance matters, emerging trends, industry best practices, and regulatory requirements. Build and own the comprehensive roadmap for data governance initiatives across the organization. Establish and monitor key performance indicators and metrics to measure the effectiveness and business value of data governance initiatives. Governance Operations & Collaboration Lead and manage the FINRA Data Governance Council, facilitating cross-functional collaboration, decision-making, and accountability. Strategically partner with Legal, Compliance, Risk Management, and Audit teams to ensure integrated approach to data governance matters. Build and maintain partnerships across organizational boundaries to drive consensus and adoption of governance standards. Change Management & Enablement Lead development of comprehensive communication strategies to promote data governance awareness and foster a data-driven culture across the organization. Build targeted data governance training programs for various stakeholder groups at all organizational levels. Lead enterprise-wide change management initiatives associated with implementing new data governance processes, policies, and tools. Drive organizational adoption of data governance practices through influence and collaboration. Team Leadership Build, develop, and lead a high-performing team of data governance professionals. Mentor and develop team members to build organizational capability in data governance. Foster a culture of excellence, innovation, and continuous improvement within the data governance function. 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 Information Management, Business Administration, Data Management, Finance, or related field required; Master's degree or certifications (CDMP, DGSP) preferred. 12+ years of progressive experience in data governance, data management, or related disciplines, including 7+ years leading teams and programs in complex, matrixed organizations. Financial services or regulated industry experience with deep understanding of compliance and regulatory frameworks. Proven success implementing or transforming enterprise data governance programs in regulated industries, preferably financial services. Deep expertise in data governance frameworks, methodologies, and best practices. Strong understanding of financial markets, securities regulation, and regulatory landscape. Expert-level knowledge of data quality, metadata management, data architecture, and data privacy. Outstanding communication skills to articulate complex technical concepts to diverse audiences, including executives. Strong influencing and negotiation skills to drive consensus across organizational boundaries. Change management expertise to facilitate adoption of new practices and technologies. Executive presence with ability to build credibility and trust with senior leadership. Collaborative leadership style with success building strategic partnerships. Strategic thinking with hands-on execution capability. 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 Salary $177,100, Maximum Salary $361,700 CO/FL/TX: Minimum Salary $154,100, Maximum Salary $301,400 IL*/PA: Minimum Salary $169,400, Maximum Salary $331,900 MA/MD/VA/Washington, DC: Minimum Salary $177,100, Maximum Salary $346,700 NY*/NJ: Minimum Salary $177,100, Maximum Salary $361,700 *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 Director is a key member of the Market Oversight Surveillance and Market Intelligence section's leadership team and is responsible for the effective generation and progression of regulatory reviews conducted by the section. This role communicates and innovates with peers across the organization to facilitate sharing of surveillance intelligence to improve our ability to meet FINRA's mission. The function of this role is to ensure that member firms are complying with applicable rules and regulations. This role administers directives and policies established by Market Oversight (MO) to ensure the effective and efficient functioning of assigned teams. Essential Job Functions; * Directs teams of managers and individual contributors and is accountable for meaningful career development conversations and regular coaching and feedback. * Directs their team's operations and strategic objectives, demonstrates advanced expertise of the work in their specific area and has an advanced understanding of a broader scope of work in adjacent teams. * Leads the execution of the surveillance program to ensure progress toward the organization's goals and objectives. * Contributes to business objectives by designing and implementing effective measures to manage surveillance matters. * Communicates strategically with People Solutions and work area management to identify core training needs, subsequently establishing structure and requirements to successfully deliver comprehensive training. * Directs special projects, surveys, and technology initiatives that can potentially have an impact on Surveillance. * Manages the review and analysis of regulatory intelligence received through a variety of sources, including internal sources, regulatory tips, customer complaints, firm regulatory filings, and referrals from other regulators. Continually monitors for program risks and suggests the development of solutions. * Manages tactical and operational aspects of their team (e.g., performance and compliance), as well as ensuring achievement of team goals within broader organizational strategy. * Ensures that all regulatory requests are fulfilled in a timely and accurate manner. * Represents FINRA in internal/external meetings and speaking engagements. * Demonstrates FINRA's values of Responsibility, Innovation, Collaboration and Expertise in interactions with colleagues, management, FINRA members, and outside parties. * Monitors and implements solutions to achieve the section's measures of 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: * Represents FINRA at speaking engagements with various internal and external constituencies. * Lead multi-level initiatives across Regulatory Operations. * Provides subject matter expertise in regulatory area to advance FINRA and industry initiatives (e.g., CAT, Notice to Members, rule filings, market events, congressional testimony preparation). * Remains current on industry trends, practices, and regulatory impacts. Education/Experience Requirements: * Bachelor's degree and a minimum of ten (10) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities. * Minimum five (5) years supervisory experience required. * Demonstrated project management, process improvement, understanding of surveillance development lifecycle and goal attainment skills. * Extensive working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder. * Experience with investigations involving potential securities rule violations. * Demonstrated ability to lead regulatory programs and produce outstanding measurable results. * Requires excellent written and verbal communications skills, including interpersonal and presentation skills. * Strong organizational skills and excellent attention to detail. Working Conditions: * Hybrid work environment, with defined in-person presence requirements. * Hours may extend beyond normal business hours. * 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 $177,100, Maximum Salary $361,700 CO/FL/TX: Minimum Salary $154,100, Maximum Salary $301,400 IL*/PA: Minimum Salary $169,400, Maximum Salary $331,900 MA/MD/VA/Washington DC: Minimum Salary $177,100, Maximum Salary $346,700 NY*/NJ: Minimum Salary $177,100, Maximum Salary $ 361,700 * 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 are seeking a highly skilled Machine Learning Engineer with strong experience in AWS, Large Language Models (LLMs)-especially Amazon Bedrock, Python, and modern CI/CD pipelines (Jenkins or GitLab). You will help design, build, and deploy scalable ML systems, integrate generative AI capabilities, and support end-to-end model lifecycle workflows in production. Essential Job Functions: Design, build, and deploy machine learning models and pipelines using Python, AWS services, and Amazon Bedrock. Develop scalable APIs and microservices to expose ML/LLM capabilities using FastAPI Build automated CI/CD pipelines using Jenkins or GitLab CI/CD for model training, testing, and deployment with robust monitoring, logging, and alerting for ML systems in production. Optimize ML workloads using AWS services such as SageMaker, Lambda, ECS/EKS, Step Functions, and KMS. Familiarity with containerization using Docker and orchestration with ECS, EKS, or Kubernetes.. Experience implementing RAG pipelines with vector databases (e.g., OpenSearch, Pinecone, DynamoDB, Aurora PostgreSQL + pgvector) Knowledge of modern MLOps tools (MLflow, SageMaker Pipelines, Weights & Biases) Experience working with API frameworks (FastAPI, Flask) Background in security, compliance, or responsible AI principles. Education/Experience Requirements: Bachelor's degree in Computer Science, Information Systems or related discipline with at least 5 years of related experience, or equivalent training and/or work experience. System design experience Strong experience in object-oriented development Strong experience with cloud technologies Strong 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 $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.

FINRA Enforcement Associates, Honors Program make meaningful contributions to Enforcement's investigations of and decisions about whether to bring disciplinary actions against individuals and firms in the financial industry. Honors Associates gain substantive hands-on legal experience that develops their lawyering skills in investigating, litigating and writing. They also gain specialized knowledge about the financial industry and participate in a robust legal, financial and leadership training program. This is an entry-level position that works under the supervision of more senior attorneys, investigators, Directors and Chief Counsels. Honors Associates work on variety of discrete projects as they move through rotations in the Enforcement Legal and Investigations groups. Essential Job Functions: Honors Associates work directly with more senior attorneys and investigators on investigations and litigations to provide high-level support throughout all phases of Enforcement matters. Duties include: * Performing substantive and procedural legal and sanctions research, and drafting summaries of each, in support of more senior attorneys. * Reviewing case files for evidence that supports legal findings, including sworn testimony, electronic communications and trade blotters. * Proposing types and categories of evidence to collect through requests for information and documentation. * Organizing and synthesizing evidence and creating and making oral presentations of factual findings to more senior attorneys. * Drafting written summaries of factual findings. * Proposing questions and exhibits for and attending interviews (both sworn and informal) with customers and industry personnel. * Drafting sections of legal documents, including charging recommendation memos, settlement documents, complaints and pre-hearing briefs in support of more senior attorneys and investigators. * Proposing investigative and legal strategies for consideration by more senior attorneys. * Supporting litigation teams in hearing preparation by gathering documents for production and participating in efforts by more senior attorneys to identify potential witnesses, exhibits and lines of questioning for direct and cross examinations. * Utilizing computer resources and software applications for data and information analysis pursuant to department procedures. * 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: * Assists with other projects as assigned. Education/Experience Requirements: * Recent graduate of a J.D. or L.L.M. program. * Excellent interpersonal, organizational, and written and oral communication skills are essential. * Strong work ethic, positive attitude and professional demeanor. Strong analysis and research skills. * Should be thorough and able to handle competing priorities. * Should have ability to work with others to meet deadlines. * Should be proactive; solutions-oriented; innovative; collaborative and motivated to learn new skills. * Securities law related course work and/or knowledge of securities law or brokerage regulations are not required, but preferred. Work Conditions: * Hybrid work environment, with defined in-person presence requirements. * Extended hours may be required. Please apply with: * Resume * Writing sample * Unofficial law school transcript * Cover letter Other Information: * It is required to pass the Bar in order to be eligible to continue in the Honors Program beyond the first year of the Program. * To be eligible for a attorney position at FINRA after completion of the two year Honors Program, candidates must have successfully performed the responsibilities of the Honors Associate, have a law degree and be appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing 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 of $81,300, Maximum Salary $151,300 CO/FL/TX: Minimum Salary $70,600, Maximum Salary $126,000 IL*/PA: Minimum Salary $77,900, Maximum Salary $138,800 MA/MD/VA/Washington DC: Minimum Salary $81,300, Maximum Salary $145,000 NY*/NJ: Minimum Salary $81,300, Maximum Salary $151,300 * 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. #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.

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 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 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.