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Directs FINRA’s Risk Monitoring Program for a business segment, supervising analysts and overseeing risk assessments, regulatory responses, examination strategies, corrective actions, and monitoring of member firms. Leads issue identification, stakeholder coordination, staff development, hiring, special projects, and technology initiatives. Represents senior leadership with firms and regulatory agencies, ensures compliance with securities regulations, and provides strategic guidance on emerging industry risks.

Conducts complex regulatory analyses of FINRA firms’ public communications, coordinates examinations with internal departments and regulators, documents findings, and supports disciplinary actions. Reviews analytical sign-offs for accuracy and rule application, trains and coaches staff, monitors workflow, contributes to policy and rule development, represents the department at conferences, and handles special projects. Requires expertise in securities, broker-dealer services, advertising regulations, and FINRA, SEC, MSRB, and SIPC rules.

As a Cyber Awareness and Training Lead, you will design cybersecurity tabletop exercises, provide incident management guidance, drive examinations, educate members, and consult on high-stakes issues to enhance industry cyber resilience.

The Associate Principal Analyst reviews advertising communications for compliance with regulations, mentors staff, and conducts complex reviews of materials while responding to inquiries.