Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is a professional position within the Strategic Intelligence & Analytics (StratIntel) division of the organization’s Member Supervision department. The role involves utilizing an expanded skill set and expertise in the...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a key player in the mission of StratIntel within the organization’s Member Supervision department, which focuses on delivering proactive intelligence to enhance investor protection and market integrity. Responsibilities include: - Leading complex...
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. - Support the Risk Monitoring Director in identifying existing and emerging risks and interacting with internal...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members under the supervision of a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Conduct risk monitoring...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst in the Office of Strategic Engagement is tasked with supporting the leadership team in External Strategic Engagements. The role involves developing high-impact publications, speaker preparation materials, and other...
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 by identifying existing and emerging risks and facilitating interactions with...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a crucial role in the organization’s Member Supervision department, specifically within StratIntel, by contributing to the mission of enhancing investor protection and market integrity. The core responsibilities include: - Leading complex analytical...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Serve as the strategic examinations leader accountable for the effectiveness, efficiency, and execution of the Examinations Program for the Firm Group and assigned firms. - Set a multi-year strategic...
Title: Associate, HONORS Program-1 Job Responsibilities: FINRA Enforcement Associates in the Honors Program are integral to the investigations and decisions regarding disciplinary actions against individuals and organizations within the financial industry. This entry-level position provides substantive hands-on legal experience and...