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Lead testing and risk optimization for Surveillance, directing strategy, operations, and enhancements. Manage team operations, coordinate surveillance governance, testing, and ROI analyses, collaborate with internal/external stakeholders, represent FINRA externally, and drive innovation and measurable regulatory program outcomes.

Conducts moderate-to-high complexity market surveillance to identify potential securities rule violations, develops and tests analytics and surveillance tools, documents reviews and referrals, prepares detailed reports, coaches colleagues, and supports special projects to advance regulatory surveillance goals and industry compliance.

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

The Associate Principal Analyst reviews advertising materials for compliance with regulatory standards, mentors junior staff, and ensures quality and timely responses to inquiries.

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.