Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting directly to a Risk Monitoring Director. - Identify existing and emerging risks and interact with... both internal and external parties to...
Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and interact with... internal and external parties. - Conduct risk monitoring activities involving complex or elevated risk organizations with guidance and minimal supervision of a Risk Monitoring Director o...
Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks, and interact with... internal and external parties. - Conduct risk monitoring activities, including those involving complex or elevated risk firms, with guidance and minimal supervision. - Collaborate with...
a Risk Monitoring Director. - Serve as a senior-level support to the Risk Monitoring Director in identifying existing and emerging risks. This includes interactions... with both internal and external parties. - Perform risk monitoring activities that may involve complex or elevated...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the strategic planning and execution of the Examinations Program for the Firm Group, ensuring alignment with Member Supervision goals and vision. - Collaborate with cross-functional partners and Regulatory...