Title: Legal Administrative Assistant/Paralegal Job Responsibilities: The Legal Administrative Assistant/Paralegal at the organization is responsible for providing essential administrative support to the litigation team and the Legal Services Project (LSP), including managing the prison mail program. Key responsibilities include: - Administering the prison...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst within the Office of Strategic Engagements (OSE) at the organization is tasked with supporting the leadership team in all aspects of the group’s responsibilities. This role involves representing...
Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and... identifying existing and emerging risks and interact with internal and external parties. - Conduct risk monitoring activities for... complex or elevated risk firms with guidance and minimal supervision. - Collaborate with internal departm...
Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and... and emerging risks. - Interact with both internal and external parties for risk-related matters. - Conduct risk monitoring activities, which... may include complex or elevated risk firms, under the guidance and minimal superv...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a pivotal role within the StratIntel mission of the department, primarily tasked with enhancing investor protection and market integrity through informed regulatory decisions. The key responsibilities include: - Leading complex analytical projects...
Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and... Engage in interactions with internal and external parties. - Conduct risk monitoring activities, including... complex or elevated risk firms, with minimal supervision. - Collaborate with internal departments to analyze, communicate, and make recom...
- Capital Markets Job Responsibilities: - Conduct risk monitoring activities and... in identifying existing and emerging risks and engage with internal and external parties. - Conduct risk monitoring activities for... complex or elevated risk firms with minimal supervision. - Collaborate with internal departments t...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a pivotal role within the StratIntel team of the organization’s Member Supervision department. The individual in this position is responsible for leading complex analytical projects aimed at identifying emerging market risks...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the strategic examinations program for the Firm Group, ensuring effectiveness, efficiency, and proper execution. - Develop a multi-year strategic plan aligned with Member Supervision goals and vision. - Collaborate...
Title: Associate, HONORS Program-1 Job Responsibilities: The Associate in the HONORS Program is tasked with making significant contributions to the organization's Enforcement investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. This entry-level role allows the Associate...