Director & Counsel, Enterprise Data Privacy Office Job Responsibilities: The Senior... organization, leading the Enterprise Data Privacy Office and overseeing... the privacy function of the organization. The CPO is tasked with designing, implementing, and operating a best-in-class privacy program for the organization....
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support throughout the lifecycle of new regulatory initiatives. - Advise the Board of Governors and advisory committees on complex and sensitive regulatory initiatives and rule changes. - Brief and communicate complex...
Title: Associate, HONORS Program Job Responsibilities: The Associate in the HONORS Program at the organization plays a crucial role in contributing to the Enforcement's investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. This entry-level position involves...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is a key professional role within the Strategic Intelligence & Analytics (StratIntel) organization, which is part of the organization's Member Supervision department. This position focuses on the collection, analysis, processing,...
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, consisting of over 120 examiners and managers. - Set multi-year strategic plans and manage priorities...
Title: Counsel, Discovery & Litigation Job Responsibilities: - Handle the docket of information requests received by the organization, including third-party subpoenas issued in arbitration proceedings, and civil and criminal litigation cases. - Exercise legal judgment under limited supervision to respond to information...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is responsible for executing functions in support of the Strategic Intelligence & Analytics (StratIntel) mission within the organization’s Member Supervision department. This includes: - Partnering across the organization and externally on...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - The Principal Analyst, Risk Monitoring is responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - This senior-level position supports the Risk Monitoring Director in...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst in the Office of Strategic Engagement (OSE) within the department of Member Supervision is tasked with supporting the leadership team in various high-visibility external engagements and publications. The...
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 in interactions with internal and...
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. - Identify existing and emerging risks and interact with internal and external parties. - Perform risk...