Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst is tasked with supporting the External Strategic Engagements leadership team in all aspects of their responsibilities. This includes representing the team when appropriate and leading the development of...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a crucial role within the StratIntel unit of the organization’s Member Supervision department. This role is centered on delivering proactive intelligence to enhance investor protection and market integrity. Key responsibilities include: -...
Title Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities - Lead the operations and execution of the Capital Markets, Fixed Income Specialist, and Compliance teams, consisting of over 120 examiners and managers. This includes setting a multi-year strategic...
Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and... emerging risks and interact with internal and external parties. - Conduct risk monitoring activities on... complex or elevated risk firms with guidance and minimal supervision from a Risk Monitoring Director or desig...
Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and... ongoing risk assessments for FINRA members, under the supervision of a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and in interactions with internal and...
Analyst, Risk Monitoring** **Job Responsibilities:** - Conduct risk monitoring activities and... interactions with internal and external parties. - Conduct risk monitoring activities, including... those involving complex or elevated risk firms, with guidance and minimal supervision from a Risk Monitoring Director or their...
Director in identifying existing and emerging risks, and manage interactions with internal and external parties. - Conduct risk monitoring activities, which... may involve complex or elevated risk firms, with guidance and minimal supervision from a Risk Monitoring Director or designee. - C...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a critical role in the StratIntel mission within the organization's Member Supervision department. This role is instrumental in delivering proactive intelligence to enhance investor protection and market integrity. Key responsibilities include: -...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the Firm Grouping by setting a multi-year strategic plan and managing priorities to align with the goals and vision of Member Supervision. - Work closely with cross-functional partners...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is an advanced expert-level position within the Strategic Intelligence & Analytics (StratIntel) organization, which is part of the Member Supervision department. This role involves utilizing an expanded skillset and expertise...
Title: Associate, HONORS Program Job Responsibilities: FINRA Enforcement Associates in the Honors Program play a crucial role in contributing to Enforcement's investigations and making decisions on whether to bring disciplinary actions against individuals and firms within the financial industry. These...