Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring... Director. - Identify existing and emerging risks and interact with... internal and external parties. - Conduct risk monitoring activities on complex or elevated risk firms with guidance and minimal supervision from a Risk...
Support the Risk Monitoring Director by identifying existing and emerging risks and engaging with... both internal and external parties. - Perform risk monitoring activities, including handling complex or elevated risk firms with guidance and minimal supervision from a Risk Monitoring D...
a Risk Monitoring Director. - Identify existing and emerging risks in collaboration with... a Risk Monitoring Director and interact with internal and external parties. - Oversee risk monitoring activities, including those involving complex or elevated risk firms, with guidance and minimal supervisi...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks, and interact with... internal and external parties in this senior-level...
Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and engaging with... both internal and external parties. - Conduct risk monitoring activities, which may involve complex or elevated risk firms, under the guidance and minimal supervision of a...
Title: Senior Director & Counsel, Enterprise Data Privacy Office Job Responsibilities: The Senior Director and Counsel, Privacy, serving as the Chief Privacy Officer (CPO), leads the organization's Enterprise Data Privacy Office and oversees its privacy function. The CPO is tasked with designing,...