FINRA Jobs & Careers

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Examiner IT Financial Operations, Member Regulation, ROOR

Financial Industry Regulatory Authority, Inc. New York, NY

Conducts on-site examinations and advises surveillance staff on how to assess the effectiveness of member organization's technology systems and… CareerBuilder


Financial Operations Examiner - Member Regulation, ROOR

Financial Industry Regulatory Authority, Inc. New York, NY +2 locations

Conduct on-site examinations and assess member organization's financial and operational condition and compliance with SEC and FINRA rules and… CareerBuilder


Financial Operations Examiner Market Regulation, Trading & Financial Compliance

Financial Industry Regulatory Authority, Inc. New York, NY

The Compliance Examiner conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and… CareerBuilder


Senior Economist - Washington, DC or New York, NY

Financial Industry Regulatory Authority, Inc. Washington, DC

The primary duties of this position are to engage in statistical, econometric and financial analysis projects to evaluate the risks, costs and… CareerBuilder


Regulatory Analyst - Chicago Equities Surveillance - Chicago

Financial Industry Regulatory Authority, Inc. Chicago, IL

The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and… CareerBuilder


Enforcement Chief Counsel

Financial Industry Regulatory Authority, Inc. Rockville, MD

The Chief Counsel is responsible for the full lifecycle execution of matters assigned to his or her Enforcement Center. They manage units of staff… CareerBuilder


Manager III,Broker Dealer Operations & Financial Responsibility, Member Regulati

Financial Industry Regulatory Authority, Inc. New York, NY

Serve as subject matter expert, and provide technical guidance and education on accounting related topics, respond to interpretative questions… CareerBuilder


Regulatory Analyst, On Floor Surveillance, Member Trading

Financial Industry Regulatory Authority, Inc. New York, NY

The Regulatory Analyst conducts for cause review and investigations of unusual market activity, primarily complaint driven, for evidence of… CareerBuilder


Associate Principal Specialist, Credit Regulation

Financial Industry Regulatory Authority, Inc. New York, NY

Research and provide technical guidance and education on interpretive questions, and regulatory issues, concerning broker-dealer credit/margin… CareerBuilder


Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinat

Financial Industry Regulatory Authority, Inc. New York, NY

The Compliance Examiner conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and… CareerBuilder

Updated Aug 29, 2014

See What FINRA Employees Are Saying

Employees say it's “OK”   166 ratings

2.8

73% Approve of the CEO   77 ratings

FINRA Chairman & CEO Richard G. Ketchum

Richard G. Ketchum

Chairman & CEO

1 person found this helpful

Pros: “FINRA has great benefits. Pension plus 401k, great medical coverage and liberal leave policies. The bonuses are nice too. Great Worklife balance. Flexible schedules, I come and go as I please and nobody cares as long as I get my work done. Work demands are reasonable. Management talks a lot about…”Full Review


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