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Analyst, Risk Monitoring The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Supports both that direct manager in identifying existing and emerging risks, and interactions with... internal and external parties. Conducts...
Analyst, Risk Monitoring The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Supports both that direct manager in identifying existing and emerging risks, and interactions with... internal and external parties. Conducts...
Principal Investigator, Specialist Team The candidate independently conducts advanced high complexity routine and special investigations of member firms; investigates potentially suspicious activities of persons associated with member firms; provides guidance to Member Supervision staff on their complex assignments, as well...
Investigator, FINOP-NCP The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the NCP. Provides subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal and...
Analyst, Risk Monitoring-Diversified, Carrying and Clearing - ANY FINRA location Full time position with FINRA, a leading regulatory organization for the financial industry. Job Responsibilities: Conduct risk monitoring activities and ongoing risk assessments for FINRA members,...
a principal analyst in risk monitoring, you will be responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members. You will report to a Risk Monitoring Director and in identifying existing and emerging risks. This is a......
Risk Monitoring - Capital Markets - Any FINRA Location... Full Time Posted 2 Days Ago Job Requisition ID: R-008111 The Organization is seeking a Director, Risk Monitoring to oversee the implementation and completion of the Risk...
Analyst, Risk Monitoring The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Supports both that direct manager in identifying existing and emerging risks, and interactions with... internal and external parties. Conducts...
Analyst, Risk Monitoring The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Supports both that direct manager in identifying existing and emerging risks, and interactions with... internal and external parties. Conducts...