Title: Associate, HONORS Program-1 Job Responsibilities: The Associate, Honors Program is responsible for contributing to the organization's investigations and decisions regarding disciplinary actions against individuals and entities within the financial industry. This entry-level role involves working under the supervision of senior attorneys,...
stakeholders on a wide range of legal matters. These include general operations and administration, nonprofit governance, contracts, fundraising, labor and employment, litigation, intellectual property, tax, data privacy and cybersecurity, and... lobbying. The role involves working closely with the General Cou...
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, aimed at enhancing investor protection and market integrity. The key responsibilities include: - Leading complex analytical projects to identify...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst in the Office of Strategic Engagements (OSE) within the department is charged with supporting the External Strategic Engagements leadership team in fulfilling their responsibilities. This includes representing the...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting directly to a Risk Monitoring Director. - Identify existing and emerging risks and interact with both internal and external parties to...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and interact with internal and external...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks, and interact 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 directly to a Risk Monitoring Director. - Serve as a senior-level support to the Risk Monitoring Director in identifying existing...
organization. - Contribute to audit functions, business continuity, claims management, insurance, physical security, integrated risk management, and... all other active and emergent risks facing the organization. - Lead and influence a team of individuals with diverse talents and skills to ensure optima...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the strategic planning and execution of the Examinations Program for the Firm Group, ensuring alignment with Member Supervision goals and vision. - Collaborate with cross-functional partners and Regulatory...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist plays a crucial role in supporting the mission of the Strategic Intelligence & Analytics (StratIntel) organization within the department. The position involves the collection, analysis, processing, and dissemination of strategic...
Title: Staff Attorney Job Responsibilities: - Provide legal counsel to protect the organization's rights, assets, and operations, ensuring compliance with applicable laws, Executive Orders, and policies. - Assist in resolving complicated legal matters and conduct research on legal aspects of business and corporate...