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...
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...