Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: - Support the External Strategic Engagements leadership team in all aspects of the group's responsibilities, representing the team where appropriate. - Lead the development of high visibility and high impact publications, speaker preparation...
Title: Associate, HONORS Program Job Responsibilities: Associates in the Honors Program at the organization contribute significantly to the Enforcement department's investigations and decisions regarding disciplinary actions against individuals and organizations within the financial industry. The role is designed to provide entry-level associates...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead and oversee the operations of the Capital Markets, Fixed Income Specialist, and Compliance teams, which include over 120 examiners and managers. - Set multi-year strategic plans and manage priorities...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is integral to the mission of StratIntel within the department at the organization, focusing on enhancing investor protection and market integrity through informed regulatory decisions. Key responsibilities include: - Leading complex analytical projects...
Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and... ongoing risk assessments of FINRA members. - Report to a Risk Monitoring Director and support in identifying existing and emerging risks. - Interact with internal and external parties for effective risk management. - Handle...
Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and... while interacting with internal and external parties. - Conduct risk monitoring activities with... guidance and minimal supervision from a Risk Monitoring Director or designee, focusing on complex or elevated risk firms. - Collaborate...
Analyst, Risk Monitoring 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. - Monitor complex or elevated risk firms with...
- Capital Markets Job Responsibilities: - Conduct risk monitoring activities and... Director by identifying existing and emerging risks and interacting with internal and external parties. - Conduct risk monitoring activities, including... complex or elevated risk firms, with guidance and minimal supervision. - Collaborate w...
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 incumbent is responsible for: - Leading complex analytical projects with minimal supervision to identify emerging market risks. - Developing...
Title: Supervising Attorney Job Responsibilities: The Supervising Attorney at the organization is tasked with a range of critical responsibilities centered around providing legal services to detained and released unaccompanied children. This includes direct representation in immigration court, before the United States Citizenship...
Title: Staff Attorney Job Responsibilities: - Conduct intakes with child clients... to assess legal relief eligibility for unaccompanied children released to sponsors in the Dallas-Fort Worth (DFW) area. - Provide direct legal representation to children, handling a moderate to heavy caseload of children's...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Serve as a strategic leader for the Firm Grouping, responsible for setting a multi-year strategic plan and managing priorities aligned with Member Supervision goals and vision. - Collaborate closely...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist plays a crucial role in supporting the mission of Strategic Intelligence & Analytics (StratIntel) within the organization’s Member Supervision department. This position involves the collection, analysis, processing, and dissemination of...