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...
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...
division of the organization’s Member Supervision department. The role is centered on delivering proactive intelligence to enhance investor protection and market integrity. The responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal... supervision. - Developing sophisticated framew...
Monitoring Director. - Support a Risk Monitoring Director by identifying existing and emerging risks, 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....
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 with guidance and minimal supervision from a Risk Monitoring Director...
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 guidance...
department of the organization. The role includes leading sophisticated analytical projects that identify emerging market risks with minimal... oversight. The specialist is tasked with developing frameworks to assess high-impact threats and providing expert insights on strategic targets that influence inv...
Title: Vice President, Diversified, 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...
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...