StratIntel team of the organization's Member Supervision department, aimed at enhancing investor protection and market integrity. The key responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal... supervision. - Developing sophisticated frameworks to evaluate high-impact threats. - Providing...
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...
division of the organization's Member Supervision department. This position is responsible for delivering proactive intelligence to enhance investor protection and market integrity through informed, timely regulatory decisions. The key responsibilities include: - Leading complex analytical projects to identify emerging market risks...
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...