Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and interacting with internal...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members under the supervision of a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Conduct risk monitoring...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Serve as the strategic examinations leader accountable for the effectiveness, efficiency, and execution of the Examinations Program for the Firm Group and assigned firms. - Set a multi-year strategic...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is a professional position within the Strategic Intelligence & Analytics (StratIntel) division of the organization’s Member Supervision department. The role involves utilizing an expanded skill set and expertise in the...
Title: Associate, HONORS Program-1 Job Responsibilities: FINRA Enforcement Associates in the Honors Program are integral to the investigations and decisions regarding disciplinary actions against individuals and organizations within the financial industry. This entry-level position provides substantive hands-on legal experience and...
Title: Youth Practice Group Staff Attorney Job Responsibilities: A Youth Practice Group Staff Attorney focuses on providing pro bono legal assistance to youth with disabilities aged 3-21, particularly those affected by the justice system, through the Youth Justice Project. This initiative aims...