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Job Title: Senior Director, Special Investigations Unit H1... Heading: Senior Director - Special Investigations Unit H2... Headings: Essential Job Functions, Education/Experience Requirements, Knowledge Requirements, Skills... Requirements Senior Director, Special Investigations Unit - Any... Organization: FINRA Department: Special Investigations Unit Salary......
high complexity routine and special investigations of FINRA member... firms, investigating potentially suspicious activities of persons associated with FINRA member firms, and providing guidance to Member Supervision staff on their complex assignments. The position requires an expert level of knowledge...
R-008114 The Investigations Director, Specialist Team, manages examinations and investigations of broker-dealers’ compliance with applicable rules and regulations, and financial crimes. The Director develops and supervises specialists regulatory programs and work products related to the routine and special examinations/inv...
FINRA is seeking a Senior Director to lead their Cyber-Enabled Fraud and Analytics team. This senior level position will oversee the planning and execution of cyber-enabled fraud investigations involving member firms, as well as conduct threat identification analysis and...
Senior Litigation Counsel - Enforcement - FINRA H2: Represent FINRA in Complex Securities Cases Organization: FINRA Department: Office of Hearing Officers (OHO) Job Title: Senior Litigation Counsel Experience: Minimum 10 years of litigation experience Salary Information: - California: Minimum...
Advisor, Member Supervision The candidate will provide critical leadership and strategic support to the Senior Vice President in the performance of a full and diverse range of functions. Enable the SVP to effectively develop and execute on strategy, engage in...
hourly rate based on education level and qualifications, as... well as a hybrid work option with the ability to work from anywhere within the United States. The intern will provide support to attorneys and accountants by conducting legal research and...
Friendly Job Title: Director, Risk Monitoring - Capital Markets H1 Heading: Director, Risk Monitoring - Capital Markets - Any Finra Location H2 Heading: Essential Job Functions Bullet Points: - Supervise the activities of Risk Monitoring Analysts for...
Essential Job Functions H2: Education & Experience Requirements H2:... Knowledge Requirements H2: Skill Requirements H2: Salary Information H2: Time Off and Paid Leave H2: Important Information H2: Search Firm Representatives H2: Equal Opportunity and Affirmative Action Employer Organization: **MEMBERS ONLY**SIGN UP NOW***...