in the StratIntel mission within the organization’s Member Supervision department. Their primary responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal... supervision. - Developing sophisticated frameworks to evaluate high-impact threats. - Providing expert insights on strategic targets affecti...
Director. - Identify existing and emerging risks, and interact with... internal 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...
on both existing and emerging 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...
Risk Monitoring Director. - Identify existing and emerging risks and support interactions... with internal and external parties. - Engage in risk monitoring activities, including complex or elevated risk firms, with minimal supervision from a Risk Monitoring Director or designee. - Collaborate with int...
organization, which is part of the Member Supervision department. The primary responsibilities of this position include: - Leading complex analytical projects to identify emerging market risks with minimal... supervision. - Developing sophisticated frameworks to evaluate high-impact threats. - Providing expert insights on...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the strategic direction and execution of the Examinations Program for the Firm Group, ensuring alignment with organizational goals and regulatory standards. - Develop and implement a multi-year strategic...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the Capital Markets, Fixed Income Specialist, and Compliance teams, consisting of over 120 examiners and managers, setting a multi-year strategic plan and managing priorities to align with Member...
Title: Staff Attorney, Strategic Litigation Job Responsibilities: The Staff Attorney in the Strategic Litigation Department is tasked with leading litigation efforts in forensic sciences. The role involves extensive collaboration with public defenders, defense counsel, and leading scientists to advance litigation goals. Key...
Director. - Identify existing and emerging risks and interact with... internal 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...
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...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Strategic leadership for the effectiveness, efficiency, and execution of the Examinations Program for the Firm Group and assigned firms. - Develop and manage a multi-year strategic plan aligning with...