Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Strategic... Examinations Program for the Firm Group and assigned firms. -... Develop and manage a multi-year strategic plan aligning with Member Supervision goals and vision. - Collaborate with cross-functional partners outside Member Supervision and...
to a Risk Monitoring Director. - Identify existing and emerging... and external parties. - Handle complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. - Collaborate with... internal departments to analyze, communicate, and make recommend...
to a Risk Monitoring Director. - Identify existing and emerging... risks, supporting interactions with internal and external parties. - Conduct risk monitoring activities for complex or elevated risk firms with guidance and minimal supervision. - Collaborate with internal departments to analyze, communicate, a...
risk assessments of FINRA members, reporting directly to a Risk Monitoring Director. This senior-level position supports... the Risk Monitoring Director in identifying existing and... emerging risks and interacts with both internal and external parties. Key responsibilities include: - Conducting risk monito...
Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead... Examinations Program for the Firm Group, ensuring alignment with... strategic plan for the Firm Group, managing priorities in... line with Member Supervision objectives and collaborating with cross-functional partners. - Oversee the Ex...
to a Risk Monitoring Director. - Identify existing and emerging... and external parties. - Conduct risk monitoring activities for complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. - Collaborate with... internal departments to a...
risks. - Report to a Risk Monitoring Director, supporting them in identifying... risks and interacting with both internal and external parties. - Handle complex or elevated risk firms with guidance and minimal supervision from a Risk Monitoring Director or designee. - Collaborate wit......
Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead... the Firm Grouping and set a... multi-year strategic plan aligning with Member Supervision goals and vision. - Manage priorities, collaborate with cross-functional partners, and integrate examination efforts with Regulatory Operations. - Ensure connectivity...
to a Risk Monitoring Director. - Support the Risk Monitoring... Director in identifying existing and... emerging risks and engage in interactions with internal and external parties. - Conduct risk monitoring activities for complex or elevated risk firms from a Risk Monitoring Director...
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...
to a Risk Monitoring Director. - Support the Risk Monitoring... Director in identifying existing and... and external parties. - Conduct risk monitoring activities that may include complex or elevated risk firms with guidance and minimal supervision from a Risk Monitoring Director...
to a Risk Monitoring Director. - Support a Risk Monitoring... Director by identifying existing and... facilitating interactions with internal and external parties. - Conduct risk monitoring activities for complex or elevated risk firms with guidance from a Risk Monitoring Director or designee....
to a Risk Monitoring Director. - Support the Risk Monitoring... Director in identifying existing and... emerging risks and manage interactions with both internal and external parties. - Carry out risk monitoring tasks, which may involve complex or elevated risk firms, under the...