Temporary Finra Series 99 Jobs (NOW HIRING)

About FINRA
FINRA (Financial Industry Regulatory Authority) is the largest independent regulator of securities firms doing business in the United States. Our mission is to protect investors and ensure market integrity through effective and efficient regulation. We oversee approximately 3,400 brokerage firms, 152,000 branch offices, and nearly 624,000 registered securities representatives. At FINRA, you'll join a team of dedicated professionals committed to safeguarding the financial system and empowering investors.
The Opportunity
Are you ready to be at the forefront of cybersecurity resilience in the financial sector? As a Senior Principal Risk Specialist, Cyber Engagements, you'll play a pivotal role in strengthening the industry's defenses against evolving cyber threats. You'll design and lead immersive tabletop exercises and interactive workshops that simulate real-world cyber incidents, helping member firms sharpen their response strategies, improve coordination, and build lasting organizational resilience. This isn't just about identifying vulnerabilities-it's about empowering firms to respond, recover, and thrive in the face of cyber risk. You'll work directly with member firms as a trusted advisor, facilitating scenario-based learning experiences that translate into tangible preparedness and incident management improvements.What You'll Do:

Lead High-Impact Engagements: Design, coordinate, and facilitate cybersecurity tabletop exercises and workshops with member firms, creating realistic simulations that test response capabilities and foster collaborative problem-solving.

Event Strategy & Planning: Plan, manage, and execute internal and external cyber engagement events ensuring every interaction drives attendee engagement with relevant information and aligned with company goals.

Develop Formal Documentation: Prepare and formulate Executive Summaries, After Action Reports (AARs), Educational Whitepapers, and Toolkits to support engagement functions.

Serve as a Trusted Advisor: Provide tailored guidance on incident management, coordination protocols, and recovery strategies based on each firm's unique risk profile.

Drive Complex Examinations & Reviews: Independently lead examinations and risk reviews of the highest complexity, collaborating with Regulatory Operations staff and addressing matters originating from tips, referrals, and specialist initiatives.

Share Knowledge & Educate: Contribute to member firm and investor education through conference panels, training seminars, boot camps, and district compliance events. Develop staff training materials, podcasts, and specialized content.

Consult on High-Stakes Issues: Respond to complex inquiries from Regulatory Operations staff and conduct consultations with minimal supervision.

Embody FINRA's Values: Collaborate both in-person and virtually to advance investor protection and market integrity.

What You Bring

Required Qualifications:

Education & Experience:

• Bachelor's degree or equivalent combination of education and experience
• Intermediate securities, compliance, or financial regulatory experience
• Advanced experience in risks associated with specialization (cybersecurity and incident response)
• 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

Knowledge:

• Intermediate knowledge of FINRA's eleven risk fundamentals Intermediate knowledge of securities rules and regulations
• Advanced-to-expert knowledge of cybersecurity risks, threat landscapes, and incident management

Skills:

• Advanced-to-expert written and oral communication skills
• Advanced-to-expert negotiation skills and ability to build collaborative relationships across diverse stakeholders
• Advanced-to-expert organizational, planning, and prioritization skills
• Advanced-to-expert resiliency-you adapt and thrive under pressure and uncertainty

Preferred Qualifications:

• Major in Accounting, Finance, Economics, Business Administration, Cybersecurity, Computer Forensics, Data Analytics, or related fields
• Advanced degree or professional certification
• Series 99 license

Why Join FINRA?

You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation, comprehensive benefits, professional development opportunities, and a collaborative culture that values innovation and expertise.

Ready to make a difference? Let's talk.

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 $141,924, Maximum Salary $212,886

San Francisco, CA: Minimum Salary $148,094, Maximum Salary $222,142

CO/FL/TX: Minimum Salary $114,200, Maximum Salary $207,200

IL/PA: Minimum Salary $125,900, Maximum Salary $228,000
MA/MD/VA/Washington, DC: Minimum Salary $131,200, Maximum Salary $238,300

NY/NJ: Minimum Salary $131,200, Maximum Salary $248,700

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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