Sie Certification Jobs (NOW HIRING)

Essential Job Functions:

Regulatory Intelligence & Strategic Advisory

• Monitors, analyzes, and interprets complex regulatory developments related to market structure and market regulation from exchanges, FINRA, the SEC, and other regulatory bodies
• Provides expert guidance to senior leadership on the operational, strategic, and policy implications of new and emerging regulatory requirements
• Directs the preparation and distribution of comprehensive regulatory intelligence materials for diverse stakeholder audiences
• Serves as a trusted advisor to the Vice President and Chief Regulatory Operations Officer (CROO) on enforcement matters within the market regulation and RSA domains

Cross-Functional Policy Coordination & Implementation

• Partners with Regulatory Operations policy teams to ensure timely communication and appropriate codification of new regulatory requirements into operational policies and procedures
• Provides authoritative subject matter expertise to assess impact and guide implementation strategies across surveillance and market investigations functions
• Reviews and advises on Regulatory Operations policies and procedures governing the application of FINRA rules and securities laws in market regulation and RSA contexts
• Ensures alignment between regulatory developments, operational capabilities, and policy frameworks

Enterprise Representation & Stakeholder Management

• Represents Regulatory Operations in high-level RSA meetings and organization-wide strategic initiatives
• Collaborates with the Office of General Counsel (OGC) on rulemaking, regulatory policy development, and governance matters affecting market regulation and RSA functions
• Coordinates with Market Regulation Services (MRS) teams to monitor RSA contract changes and assess operational impact
• Leads cross-departmental working groups and initiatives to develop unified FINRA positions on critical regulatory issues

Strategic Synthesis & Communications

• Synthesize complex, multi-dimensional input on key regulatory issues facing FINRA in the RSA and market regulation space, translating technical matters into actionable strategic recommendations
• Communicates policy positions and operational considerations effectively to internal stakeholders, including senior leadership and business line leaders
• Facilitates knowledge sharing and alignment across geographically dispersed and functionally diverse teams

Other Requirements

• Deep knowledge of FINRA rules, SEC regulations, and securities laws applicable to market regulation and trading activities
• Strong understanding of Regulatory Services Agreements and exchange regulatory frameworks
• Exceptional analytical skills with ability to assess regulatory impact across multiple operational dimensions
• Strategic thinking and ability to synthesize complex information from diverse sources
• Superior written and verbal communication skills, including ability to communicate technical concepts to non-technical audiences
• Proven ability to influence and build consensus across organizational boundaries
• 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 required; advanced degree (JD, MBA, or relevant master's degree) strongly preferred
• 12+ years of progressive experience in securities regulation, market regulation, compliance, or related regulatory operations roles
• Demonstrated expertise in market structure, trading surveillance, market investigations, or exchange regulation
• Proven track record of policy development, regulatory interpretation, and cross-functional collaboration in complex financial services organizations
• Experience representing organizational interests in regulatory forums or industry working groups
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

Work Conditions:

• Hybrid work environment, with defined in-person presence requirements.

For work that is performed in Los Angeles and San Francisco, 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. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations.

Los Angeles, CA: Minimum Salary $202,000, Maximum Salary $303,000

San Francisco, CA: Minimum Salary $211,000, Maximum Salary $316,000

CO/FL/TX: Minimum Salary $158,000, Maximum Salary $308,900

IL/PA: Minimum Salary $173,600, Maximum Salary $340,200

MA/MD/VA/Washington, DC: Minimum Salary $181,500, Maximum Salary $355,400

NY/NJ: Minimum Salary $181,500, Maximum Salary $370,700

#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 www.finra.org/careers into your browser to reach our site directly.

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 is an Equal Opportunity Employer

All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.

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 240-386-4865 or by email at EmployeeRelations@FINRA.org. Please note that this process is exclusively for inquiries regarding accommodations in the application process.

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.

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