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...