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Financial Industry Regulatory Authority
Capital market company

FINRA.org is the official website of the Financial Industry Regulatory Authority (FINRA) - an independent, non-profit securities regulator in the United States. As the largest independent regulator for all securities firms in the country, FINRA's mission is to protect investors by ensuring that the securities industry operates fairly and honestly. The website serves as a comprehensive resource center, providing information and tools for investors, firms, and financial professionals. Visitors can access FINRA's regulatory operations, rules and regulations, news and insights, and various investor education resources, enabling them to make informed decisions about their investments, navigate the securities industry, and stay up-to-date on market trends and risks.

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Popular Questions for Financial Industry Regulatory Authority
How does FINRA protect investors? A7. FINRA protects investors by setting rules and regulations for brokers and brokerage firms, conducting regular examinations to ensure compliance, and taking enforcement action against those who violate the rules. FINRA also provides education and resources to help investors make informed decisions about their investments.
Can I find job opportunities at FINRA? A10. Yes, FINRA provides job opportunities through its careers page on the FINRA website. Available jobs include positions in regulatory oversight, technology, finance, and legal and compliance, among others.
What is the difference between FINRA and the SEC? A4. FINRA is a non-governmental organization that regulates the securities industry, while the SEC is a federal agency that also oversees the industry. FINRA regulates individual brokers and brokerage firms, while the SEC regulates the markets and sets rules for the securities industry as a whole.
What is FINRA? A1. FINRA stands for Financial Industry Regulatory Authority, which is a regulatory organization that oversees and regulates the securities industry in the United States.
What is the role of FINRA? A2. FINRA is responsible for ensuring that the securities markets operate fairly and smoothly. Its primary objective is to protect investors by setting standards for the conduct of brokers and brokerage firms.
Newest job postings for Financial Industry Regulatory Authority
Senior Security Engineer
via Workday posted_at: 8 days agoschedule_type: Full-timework_from_home: 1
The Senior Security Engineer works under minimal supervision and will perform information security tasks commensurate with their experience that ensure applications and projects meet defined quality standards. Essential Job Functions: Apply established and ad hoc processes and techniques to identify, validate, prioritize, and track security risks. Identify uncontrolled risks and recommend control... improvements. Proactively identify security requirement The Senior Security Engineer works under minimal supervision and will perform information security tasks commensurate with their experience that ensure applications and projects meet defined quality standards. Essential Job Functions: Apply established and ad hoc processes and techniques to identify, validate, prioritize, and track security risks. Identify uncontrolled risks and recommend control... improvements. Proactively identify security requirement deficiencies. Engage business and technology personnel to elicit security requirements. Architect and design security control systems to address requirements. Operate and monitor established security controls. Identify control deficiencies and make appropriate recommendations. Ensure that controls are operating effectively; resolve operating discrepancies. Review, triage, and prioritize control output. Take appropriate action to resolve security discrepancies. Identify, evaluate, and recommend new security technologies, techniques, and tools. Define, review, and promote information security policies, standards, guidelines, and procedures. As compliance subject matter expert, enforce and monitor compliance with internal and external regulations, policies, and standards. Establish and promote strategies to ensure that compliance is effectively monitored and enforced. Lead/Co-lead internal process improvement initiatives. Provide feedback on processes by offering suggestions. Mentor and supervise junior staff in project-level tasks. Assist with adherence to technology policies and comply with all security controls. Ensure all work products meets /exceeds FINRA standards. Education/Experience 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. Experience must include direct experience in several of the key areas listed: securing networks and systems architecture, design and implementation, secure software assurance, intrusion detection, defense and incident response, security configuration management, access controls design and implementation and security policy and standards development. In-depth knowledge of one or more communications protocols. Experience with more than one Cyber Security tools, including: Configuration Assessment, Log Aggregation, Integrity Verification, Web Application Security Testing, Network Access Control System, Network Intrusion prevention systems, and Endpoint Security Solutions. 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. In-depth knowledge of more than one Information Security principle and discipline. Work Conditions: Work is normally performed in an office environment. Occasional travel and extended hours may be required. For work that is performed in CA, CO, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons. California: Minimum Salary $95,500, Maximum Salary $187,800 Colorado: Minimum Salary $86,800, Maximum Salary $156,500 New York, NY: Minimum Salary $104,100, Maximum Salary $187,800 Washington: Minimum Salary $86,800, Maximum Salary $179,900 #LI-DNI To be considered for this position, please submit an application. 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 www.finra.org/careers 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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations. Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits. 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 (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 is an Equal Opportunity and Affirmative Action Employer All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates. 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. ©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Our Growth is Creating Great Opportunities! Our team is expanding, and we want to hire the most talented people we can. Continued success depends on it! Once you've had a chance to explore our current open positions, apply to the ones you feel suit you best and keep track of both your progress in the selection process, and new postings that might interest you! Thanks for your interest in working on our team! About FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage. In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country. Find out more about us and how we work—and view our current openings—at www.finra.org/careers Show more details...
Senior Director, Technology - Corporate Systems (Any FINRA Location)
via Workday posted_at: 1 month agoschedule_type: Full-timework_from_home: 1
FINRA is looking for a Senior Director, Technology to lead a large digital product portfolio that aligns to our People Solutions (Human Resources), Corporate Finance, and Revenue Management organizations. The Senior Director, Technology leads a cross-functional technology team (typically 50+ staff) responsible for supporting a portfolio of enterprise applications. This role works with a high level of autonomy and discretion and typically reports to FINRA is looking for a Senior Director, Technology to lead a large digital product portfolio that aligns to our People Solutions (Human Resources), Corporate Finance, and Revenue Management organizations. The Senior Director, Technology leads a cross-functional technology team (typically 50+ staff) responsible for supporting a portfolio of enterprise applications. This role works with a high level of autonomy and discretion and typically reports to a Vice President. This role takes overall ownership over strategy, execution, and delivery and drives results by inspiring a positive, high-energy, result-oriented culture across the team. This role works closely with business stakeholders, engineering, architecture, UI/UX, finance and other functions to launch products and enhance our existing products and processes. The Sr. Director, Technology is accountable for succeeding against identified business outcomes and metrics, sets and manages the budget and financials and sets quarterly key... performance indicators. This individual manages people which includes responsibility for setting individual and team expectations, delegating assignments and managing performance, identifying talent needs, and coaching and developing team members. Essential Job Functions: Process and Operations Experience with Workday HCM or Finance implementation is preferred. Collaborates with senior management throughout the company to ensure cross-functional ownership of Workday and related technologies and facilitates a common vision and roadmap for such technologies to meet business needs and IT requirements. Responsible for overseeing the continuous improvement of Workday implementation and other corporate systems for multiple functional areas within the organization. Assesses high-level business/functional requirements across many stakeholders and assigns work to subordinate leaders, coordinates complex upgrades and/or enhancements of Workday and related technologies that meet company needs. Experience managing other SaaS/COTS packages and integrations with Workday. Working independently, establishes organizational policies, goals, objectives, and strategies that drive to measurable results. Directs and coordinates organization's financial and budget activities to fund operations, maximize investments, and increase efficiency. Develops constructive and cooperative working relationships with peers both within and outside of Technology and maintain them over time. Establishes and maintains external relationships with strategic product/service vendors, FINRA clients/customers, FINRA regulators, industry forums (government & private councils, standards bodies, product forums, etc.), as appropriate. Establishes, evolves, and ensures compliance with standard practices and processes within the disciplines. Assists with adherence to technology policies and comply with all security controls. Ensures all work products meet/exceed FINRA standards. Participates in periodic Disaster Recovery (DR), Business Continuity Planning (BCP) and Sarbanes Oxley (SOX) testing and reporting. Collaborates with stakeholders across multiple business areas and functions to understand business opportunities, prioritize demand, and identify/implement supporting application capability. Identifies new and innovative methods and metrics for tracking product success, works with the technology team to improve reports and monitoring Builds and maintains relationships with key industry thought leaders to improve vision and improve product success People Management Demonstrates ability to attract senior talent and multiple functions from inside and outside of FINRA Teaches others how to determine performance bar Facilitates understanding of broader organizational tenets and strategic goals for organization Effectively coaches and gives feedback to direct reports to help develop talent and support career development Works with cross-functional leaders and experts to establish best practices and identify opportunities to improve the product development and delivery process Recognizes trends for larger-scale development needs within and across teams and builds plans to develop skills Shares talent development best practices across organization Audits team goals to ensure alignment with broader organizational goals, is accountable for team performance against goals Sets and balances goals across team to optimize performance against organization goals and employee development Sets high performance standards for team Plans and advocates for team resources People Strategy Develops and communicates team vision that supports the broader organizational vision Ensures team culture consistently demonstrates alignment with FINRA values and behaviors Identifies talent needs to enable execution of product strategy Portfolio Management Owns annual planning for portfolio and represents team in discussions with senior executives Works with Product Managers to develop and manage the long-term (3-5 year) view of the product portfolio, making trade-off decisions on multiple products and product groups Demonstrates expertise across multiple product groups and understands company-wide assets which facilitates discovery and drives enterprise capabilities Builds working relationships with stakeholders and teams across FINRA to drive improved synergies and efficiencies within the portfolio Builds and leverages solid working relationships with business and product stakeholders, UI/UX, architecture, and technology teams to facilitate product and user success Establishes sound program and project management practices to ensure consistently reliable delivery Able to facilitate and maintain beneficial relationships between FINRA and all vendors/partners. Able to negotiate best terms and outcomes in vendor contracts, creating standards for vendors that are best able to meet project and operational milestones in FINRA’s interests. Expertise in bringing best of breed SaaS applications together in a cohesive manner for the organization and ability to integrate line of business applications into the enterprise data fabric with reporting solutions such as Power BI or similar. Education/Experience Requirements: Bachelor’s Degree in Computer Science, Engineering, or related field (or equivalent work experience in a related field) 7 years of leadership experience with direct report responsibility, with demonstrated ability to scale over time 5 years of leadership experience with responsibility for delivering both custom developed software and SaaS/COTS solutions Strong writing ability Strong business acumen Experience with Agile software development Experience working cross-functionally in a large organization Experience working closely with senior leadership Experience translating data into quantifiable actions/deliverables Preferred Requirements: Master’s Degree in Business Administration or similar advanced degree Experience with Adaptive Planning Experience with Workday HCM or Workday Finance including 2+ Workday implementations Experience with Human Resources business processes Experience with Finance business processes Agile certifications – CSM, CSPO, CSP, SAFE Experience with AWS, Cloud Architecture, Software Development Strong financial acumen Experience collaborating closely with senior leadership up to and including C-level executives Experience providing guidance and direction to cross-functional resources Working Conditions: In general, work location is flexible and may be performed in an office environment or virtually Some in-office work is required Some Travel required (generally less than 3 days per month) Extended hours may be required #LI-Hybrid To be considered for this position, please submit an application. 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 www.finra.org/careers 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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations. Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits. 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 (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 is an Equal Opportunity and Affirmative Action Employer All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates. 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. ©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Our Growth is Creating Great Opportunities! Our team is expanding, and we want to hire the most talented people we can. Continued success depends on it! Once you've had a chance to explore our current open positions, apply to the ones you feel suit you best and keep track of both your progress in the selection process, and new postings that might interest you! Thanks for your interest in working on our team! About FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage. In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country. Find out more about us and how we work—and view our current openings—at www.finra.org/careers Show more details...
Counsel, Enforcement (Any FINRA Location)
via FINRA - Talentify schedule_type: Full-timesalary: 188K a year
The Enforcement Counsel performs rigorous assessment and effective advocacy in Enforcement matters. • Execute an effective risk-based legal strategy to assess the record fairly. • Collaborate with investigative staff to plan investigations and fully develop the record... • Research and identify the legal requirements for charges. • Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal The Enforcement Counsel performs rigorous assessment and effective advocacy in Enforcement matters.
• Execute an effective risk-based legal strategy to assess the record fairly.
• Collaborate with investigative staff to plan investigations and fully develop the record...
• Research and identify the legal requirements for charges.
• Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case.
• Advance settlement discussions with respondents.
• Conduct litigation preparation and contribute meaningfully to litigation, including by conducting witness examinations.
• Draft clear and organized analysis, and effective advocacy documents.
• Plan for and conduct effective on-the-record testimony of witnesses
• Draft settlement documents.
• Collaborate effectively with other Enforcement attorneys, including within teams handling complex matters.
• Collaborate effectively with other FINRA departments.
• Prioritize matters based on risk.
• Collaborate effectively with managers and incorporate feedback into planning and execution.

Education/Experience
• Law degree and admission to the bar.
• A minimum of four years relevant legal experience in a regulatory or legal environment.
• Excellent oral and written communication and litigation skills.
• Excellent interpersonal skills.

Work Conditions
• Work outside of business hours and overnight travel may be required.

The salary for this position if the work is performed in New York, New York is a minimum of $104,100 annually to a maximum of $187,800 annually 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.

To be considered for this position, please submit an application.

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 www.finra.org/careers 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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.

Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits.

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 (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 is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

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.

©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc Show more details...
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