Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a crucial member of the StratIntel team within the organization’s Member Supervision department. This role involves: - Leading complex analytical projects with minimal supervision to identify emerging market risks. - Developing sophisticated frameworks...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is an advanced expert-level position within the Strategic Intelligence & Analytics (StratIntel) department of the organization. This role involves utilizing an expanded skillset and expertise related to the mission of...
Title: Spring Legal Intern Job Responsibilities: - Conduct legal research to support ongoing cases and projects. - Assist in drafting legal documents, ensuring accuracy and compliance with legal standards. - Organize and maintain case files and relevant documents. - Communicate with clients under the supervision...
Title: Associate, HONORS Program Job Responsibilities: FINRA Enforcement Associates in the Honors Program are tasked with contributing significantly to Enforcement's investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. The role provides substantive hands-on legal experience, enhancing...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst in the Office of Strategic Engagements (OSE) is integral to executing high-visibility external engagements and publications that share insights and intelligence with the securities industry. The role involves...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and perform ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks, and engage in...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and interacting with internal and external...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Support the direct manager in identifying existing and emerging risks and manage interactions with...
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, comprising over 120 examiners and managers. - Develop a multi-year strategic plan aligning with Member...
Title: Litigation & Employment Paralegal Job Responsibilities: - Oversee new matter intake, subpoena intake, and document requests while managing case information, litigation support services, and employment workflows within the organization's matter management system. - Support the organization’s litigation discovery and document collection functions...