Duties: Manages assigned docket of cases, with responsibility to ensure that all case activities proceed timely and accurately. Utilizes the ODR Portal and internal docket management programs. Analyzes... read more
ongoing risk assessments of FINRA members reporting to a... Risk Monitoring Director. Reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. Conducts risk monitoring...