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...
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: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks while interacting with internal and external parties. - Conduct risk monitoring...
Title: Principal 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...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director by identifying existing and emerging risks and interacting with...
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: Corporate Paralegal Job Responsibilities: General Support: - Assist the Corporate Counsel team in managing corporate governance, compliance, and recordkeeping to ensure smooth operations across the organization. - Support corporate litigation, mediation, and arbitration matters by tracking deadlines, managing team data, and generating reports...
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...
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...