Job Title: Vice President, Capital Markets, Fixed Income, and... and execution of the Capital Markets, Fixed Income Specialist,... Supervision goals and collaborate with cross-functional partners. - Oversee all fixed income, capital markets, and compliance examinations,... ensuring coordination with other exam tea...
Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk... monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Perform risk monitoring activities...
Title: Associate General Counsel, Capital Markets Job Responsibilities: 1. **Regulatory Guidance... and Advisory**: - Direct and manage the full lifecycle of adopting new regulatory requirements. - Advise the Board of Governors and senior management on complex and sensitive regulatory initiatives and rule...
Job Title: Vice President, Capital Markets, Fixed Income, and... and execution of the Capital Markets, Fixed Income Specialist,... and Compliance teams, comprising over 120 examiners and managers. This includes setting a multi-year strategic plan, managing priorities to align with Member...
Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk... monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Conduct risk monitoring activities...