of StratIntel within the organization’s Member Supervision department, which focuses on delivering proactive intelligence to enhance investor protection and market integrity. Responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal... supervision. - Developing sophisticated frameworks to e...
Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and interacting with... internal and external parties. - Conduct risk monitoring activities for complex or elevated risk firms with minimal supervision from a Risk Monitoring Director or desi...
of a Risk Monitoring Director. - Identify existing and emerging risks and interact with... internal and external parties. - Conduct risk monitoring activities for complex or elevated risk firms with minimal supervision. - Collaborate with internal departments to analyze, communicate, and make recommendations...
members, reporting to a Risk Monitoring Director. - Support the direct manager by identifying existing and emerging risks and facilitating interactions... with internal and external parties. - Execute risk monitoring activities, potentially involving complex or high-risk firms, with guidance and minimal supervisi...
organization’s Member Supervision department, specifically within StratIntel, by contributing to the mission of enhancing investor protection and market integrity. The core responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal... supervision. - Developing sophisticated frameworks to evaluat...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Serve as the strategic examinations leader accountable for the effectiveness, efficiency, and execution of the Examinations Program for the Firm Group and assigned firms. - Set a multi-year strategic...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: The Vice President of Capital Markets, Fixed Income, and Compliance Testing is a strategic leader responsible for overseeing the Capital Markets, Fixed Income Specialist, and Compliance teams within the organization's...