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Investigations, Examinations, Risk Monitoring, Data Analytics, Financial Regulatory, Securities,... Compliance, Technology, Fraud Identification, Cybersecurity, Computer Forensics, Data Analytics, Regulatory Compliance, Investigations,... Industry Events, Leadership, Team Management, Training, Risk Management, Threat Identification, Proactive Targeting, Industry Stakeholders, Re...
role of a Director of Enforcement is a critical one within any organization, but even more so within a financial regulatory body like **MEMBERS ONLY**SIGN UP NOW***. As the leader of a team of attorneys, the Enforcement Director is responsible for managing a...
Counsel, Enforcement - Salary, Job Title, and Experience Information Job Title: Principal Counsel, Enforcement Organization: FINRA (Financial Industry Regulatory Authority) Experience: Minimum of seven years of relevant legal experience in the financial regulatory space or related areas....
preparing for on-the-record testimony of potential respondents. Assist with preparing for and/or take off-the-record customer interviews. Assist investigators with investigative tasks such as entering data and updating and maintaining... document files. Review and synopsize transcripts. Assist with preparing for he...
preparing for on-the-record testimony of potential respondents. Assist with preparing for and/or take off-the-record customer interviews. Assist investigators with investigative tasks such as entering data and updating and maintaining... document files. Review and synopsize transcripts. Assist with preparing for he...
legal advisor to all environmental program Vice Presidents, Managing Attorneys, Senior Attorneys, and other program staff. They will also partner with the General Counsel and other attorneys on business issues and data security. The Deputy... General Counsel will...
Director, Special Investigations Unit - Any FINRA Location Full Time R-007744 The Senior Director within FINRA’s Special Investigations Unit (SIU) oversees the anti-money laundering (AML) and anti-fraud investigative functions, leading a team of highly skilled AML and...
Anti-Defamation League Job Title: General Counsel Experience: Minimum 10 years in legal field, previous experience leading and managing a legal team Salary: $210,000 - $250,000 a year Job Type: Full-time Location: New York, NY H1: General Counsel at Anti-Defamation...
NCP. Provides subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal and external systems. Provides an advanced level of in-depth data analysis for NCP investigations... with respect to conducting reviews and subsequently providing...
MRTS Regulatory Compliance The candidate will manage key regulatory and compliance functions for Market Regulation and Transparency Services (MRTS). Manage responses to SEC inspections and oversights, manage responses to government access requests, ensure timely completion of audit commitments, and manage...